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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Polheber (Polheber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polheber 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.

Misrepresentation and Omission, Breach of Fiduciary Duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Cowden (Cowden), previously associated with Npb Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cowden 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 $100,000.00 on February 01, 2022.

Breach of Contract and Warranties, Promissory Estoppel. Violation of Securities Statutes, Brach of Fiduciary Duty; Claims under Common Law (intentional and negligent misrepresentation of material fact), Vicarious Liability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bushkin (Bushkin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushkin 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 $100,000.00 on January 31, 2022.

Customers alleged the representative determined in what to invest and did not obtain their approval prior to investing.

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Currently financial advisor Barbara Ralston (Ralston), currently employed by brokerage firm Kovack Securities INC. 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 $35,000.00 on January 31, 2022.

Claimant expressed his dissatisfaction related to REIT purchase made approximately seven years ago by a Representative supervised by Ms. Ralston. Arbitration filed claims unsuitability and misrepresentation regarding the REITs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Wilson (Wilson), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 February 04, 2022.

Claimant alleges that in July 2021, she discovered that her former advisor: obtained a POA for her accounts; induced her to execute a new Will appointing himself him as Executor and a beneficiary of her Estate; obtained a life insurance policy and a variable annuity naming himself a beneficiary through the Estate; and obtained approximately $83k in loans from Claimant which have not been repaid. . On 8/23/22, Ameriprise Financial filed a Third-Party Statement of Claim against Wilson for contractual and common law indemnification.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Oleszkowicz (Oleszkowicz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oleszkowicz 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 $200,000.00 on February 02, 2022.

Allegations as stated by Claimant:                                                    Time frame: 9/2020 – 1/2021\, \, Allegations: \, Claimants allege that, contrary to the instructions of the Successor Trustee, funds in the inherited accounts were placed into a regular investment account rather than into an Inherited IRA account. Claimants allege they relied upon the Firm to ensure that documentation provided would be consistent with the objective of setting up an Inherited IRA account and deferring taxation on the funds as permitted under the tax code, and due to alleged breaches of fiduciary duty, negligence, negligent misrepresentation, suitability, Reg. BI, and violations of the Michigan Uniform Securities Act (“MUSA”) MCL 451.2509, they suffered damages of approximately $200,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms 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 $25,327.00 on February 01, 2022.

On 2/1/2022 client asked that Gazprom stock be sold. The sale was not completed. On 2/22/2022 the client learned that the stock had not been sold and the price of Gazprom dropped. The representative wanted to see if the price of Gazprom came back. On 2/28/2022 the price of Gazprom dropped again. The client was very upset. Shortly after that date, Gazprom stock was removed from client’s account by federal government due to Russian invasion of Ukraine.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker August Ferretti (Ferretti), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ferretti 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 $9,174.00 on February 11, 2022.

In a written complaint received by the Firm on February 11, 2022, a client alleged she was unaware her IRA funds were used to purchase a Guaranteed Lifetime Income Annuity (GLIA) from Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm in October of 2021. Client stated that she wanted the funds invested in a managed advisory account and requested that the annuity purchase be voided and a transfer of the funds to an outside financial institution. BLC found that the annuity was suitable. BLC acknowledged that client’s request was outside of the policy’s free-look period but as an accommodation allowed client to free-look her annuity without the assessment of surrender charges. While the annuity sold to the client was not a security and was issued by BLC, the Firm is reporting this complaint because the source of funding for the annuity came from the sale of securities recommended by a financial representative of the Firm.

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2022.

The customer alleges unauthorized trading on November 8, 2021, which had unknown tax consequences.

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

FINRA BrokerCheck shows a final customer complaint on February 11, 2022.

Respondent Flores failed to respond to FINRA requests for information.

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