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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lasher (Lasher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lasher 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 $45,000.00 on January 31, 2022.

Customer alleges that an investment made in June 2014 was inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investment.

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

The client alleged the advisor made a blatant mistake that caused a financial loss. The activity occurred on January 31, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Kirwan (Kirwan), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 $334,000.00 on January 31, 2022.

Breach of Fiduciary duty, over concentration in high risk securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Devary (Devary), currently associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Devary 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 $50,000.00 on January 31, 2022.

Suitability

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $160,000.00 on February 01, 2022.

Customer alleges that in 2016, representative made a recommendation that he invest in and hold a closed-end fund and a business development company that was unsuitable for the customer’s risk tolerance and investment objectives.

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

FINRA BrokerCheck shows a settled customer complaint on February 01, 2022.

PARTICIPANTS in a 401K Plan allege that between 2009 and 2022, representative recommended costly investments to the detriment of the 401K Plan. Participants also allege that representative was not registered in the proper state to provide investment advice to the 401K Plan.

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

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

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not\, accurate.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Houser (Houser), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houser 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 $244,000.00 on February 03, 2022.

Claimants allege that while they were at LPL, they were recommended the following unsuitable, speculative, high-risk investments: FSKR, FSEP, Cole Credit Property Trust IV and CIM Real Estate Finance Trust.

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

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

Customer alleged unsuitable recommendations.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $325,000.00 on February 08, 2022.

Alleges that Hugh Dunn charged inappropriate trades to speculative, aggressive short term growth portfolio. 2010-2021

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