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

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

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services.  Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Obrien (Obrien), previously associated with Feltl & Company, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Obrien recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 24, 2020.

Without admitting or denying the findings, O’Brien consented to the sanctions and to the entry of findings that he placed unauthorized trades in a customer’s account. The findings stated that O’Brien sold a limited partnership position in the customer’s account and purchased Class A shares of a mutual fund. O’Brien attempted to call the customer to discuss the trades but did not reach her before executing the transactions. The customer complained to O’Brien’s member firm about his unauthorized trades in her account, but ultimately declined to reverse the transactions.

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Currently financial advisor Gregory Dudzik (Dudzik), currently employed by brokerage firm RBC Capital Markets, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000,000.00 on November 27, 2020.

Rhode Island client complains that the fees associated with their accounts were not fully disclosed and were higher than stated between 2009 – 2020. Clients further complain that investments made in a hedge fund and an annuity were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Higgins (Higgins), previously associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $8,277.60 on November 20, 2020.

Client alleged that Financial Advisor sold a securities position in the Client’s account without authorization. Allegation time period: July 9th, 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Fowler (Fowler), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fowler 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 $175,000.00 on December 11, 2020.

Customer alleges unsuitable recommendations made for alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Rotfeld (Rotfeld), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rotfeld 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 $21,572.00 on December 09, 2020.

Tara Leigh Rotfeld was a subject of the customer’s complaint against her member firm that asserted the following causes of action: negligence, negligent misrepresentation, and unsuitability. The causes of action related to Claimant’s allegation that the recommendation to transfer funds from their American Fund investments to other American Funds investments was negligent and unsuitable.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods), currently associated with Stirlingshire Investments, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Woods  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 $200,123.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Segon (Segon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segon 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 $5,000.00 on December 14, 2020.

Claimant alleges that Registered Representative recommended investments in real estate investment trusts (REITS) but failed to disclose their illiquid and speculative nature.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Paredes (Paredes), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes 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 $462,431.58 on December 11, 2020.

Client alleges unsuitability, overconcentration and excessive commissions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Maguire (Maguire), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maguire 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 December 09, 2020.

Claimant alleges Maguire misrepresented the timing of exit from VUL positions.

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