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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dvorak (Dvorak), currently associated with Principal Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dvorak 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 $85,166.66  on April 23, 2020.

Client alleges she took an unsuitable early distribution from her IRA account in August 2016 at the advice of her registered representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Washam (Washam), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Washam 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 $71,375.65  on April 20, 2020.

Client alleges unauthorized sale of an annuity. Allegation Activity Dates: 3/21/2019 – 4/20/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Smith (Smith), currently associated with Valic Financial Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,677.12  on April 20, 2020.

Client alleges she met with advisor on February 19th and requested he change her account allocations. Client further alleges this requested change was not made until February 25th causing her to incur losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Booth (Booth), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Booth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Clients allege misappropriated funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Arensdorf (Arensdorf), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arensdorf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 21, 2020.

Client complained that the financial advisor did not sell as instructed. (4/16/2020-4/21/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waters (Waters), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Waters 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 $10,000.00  on April 21, 2020.

Misrepresentation and unauthorized trades which resulted in a decline of the portfolio value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maurice Stuffmann (Stuffmann), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stuffmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Client alleges investments were not fully explained and were unsuitable between November 2012 and March 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guilherme Silveira Sahadi (Silveira Sahadi), previously associated with Btg Pactual Us Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Silveira Sahadi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Claimant alleges that in or about January 2018, FA made unsuitable recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Terry (Terry), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Terry 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 $250,000.00  on May 19, 2020.

Unsuitable, illiquid products

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Curry (Curry), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Curry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $7,790,689.00  on May 21, 2020.

Client alleged breached of fiduciary duty and related claims associated with services to a retirement fund.

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