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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dan Nguyen (Nguyen), currently associated with Essex Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Nguyen  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $160,000.00 on February 25, 2022.

Claimant alleges: Breach of Fiduciary Duty, Constructive Fraud, Churning, Negligence, Breach of Contract and Negligent Supervision

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Young (Young), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Young recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on March 02, 2022.

Claimant alleges negligence, overconcentration, and unsuitable recommendations with regard to alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cox (Cox), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.

Time Frame: February 24, 2022 to February 25, 2022\, What were the allegations against the individual? \, The client alleges his Financial Advisor failed to follow his instructions by not purchasing an exchanged traded fund upon his request. The alleges damages are estimated to be $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Bakken (Bakken), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bakken recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Black (Black), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Black recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on February 24, 2022.

Time frame:     2016-2019\, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Murray (Murray), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on March 01, 2022.

Client alleged that FA Murray solicited a loan investment for a third party business outside Morgan Stanley without the Firm’s authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lewis (Lewis), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lewis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.

Client alleged that his best interests were not taken into consideration when he took a lump sum distribution. The client claimed that he received no guidance regarding what was the best way for him to receive inherited funds as a beneficiary of an IRA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Alsdorf (Alsdorf), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alsdorf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on March 02, 2022.

Client alleges unsuitability, breach of fiduciary duty, failure to supervise, material omission and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexa Bridge (Bridge), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bridge recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Client alleged investment was unsuitable for her account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Swank (Swank), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Swank recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 07, 2022.

Client alleges FA failed to follow instructions to liquidate his accounts which resulted in market loss to the client.

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