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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Mcfarlin (Mcfarlin), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarlin 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 $999,999.00 on April 21, 2022.

Fraud, negligence, negligent Supervision, breach of fiduciary duty, breach of contract, third party breach of contract

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2022.

Customer complained that the financial advisor advised him there would be no tax consequences associated with the surrender of his annuity; however, the a portion of the transaction was a taxable event. (4/15/2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurie Aromando (Aromando), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aromando 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 $113,195.00 on April 21, 2022.

The complainant alleges that in 2021, when looking for an investment to roll his retirement funds into that would allow him to defer the tax liability, the rep recommended a Roth annuity fund, which the complainant alleges the rep told him would provide tax deferral for this rollover. The complainant states that he has since learned that the taxes aren’t deferred and that he now has a sizable tax liability, which has created a large financial burden for him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frances Stickel (Stickel), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stickel 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 $75,000.00 on April 19, 2022.

Claimants alleges– Negligence, Breach of Fiduciary Duty, Breach of Contract, Negligent Supervision, Violation of Securities Laws, and Fraud.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Delio Londono (Londono), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Londono 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 April 14, 2022.

Claimant alleges that certain unnamed REITS  and “direct participation programs were recommended to the client that were not in keeping with her investment objectives and needs, and that the risks and other characteristics of the investments were not fully explained.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Williams (Williams), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Williams  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 on April 18, 2022.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Curry (Curry), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Curry 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 April 20, 2022.

Customer is dissatisfied with the account performance and stock selection.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Nye (Nye), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Nye 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 $75,910.00 on April 15, 2022.

Trustee for the customer alleged that in 2012 the representative failed to transfer assets into a Living Trust and the error was not realized until 2022. Upon consult, trustee alleged that the representative advised that the assets be liquidated resulting in capital gains. After the liquidation, customer died and the Trustee requested reimbursement of the amount of capital gains created by liquidation of assets.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Propst (Propst), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Propst 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 April 22, 2022.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care.  Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Rosenbach (Rosenbach), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenbach 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 $78,579.00 on April 20, 2022.

Client complained that a tax loss harvesting strategy in her managed accounts was ultimately not in her best interest. (1/1/2019-12/31/2020)

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