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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Depasquale (Depasquale), currently associated with American Capital Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Depasquale 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 $170,000.00  on May 26, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $170,000.00  on May 26, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Logsdon (Logsdon), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Logsdon 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.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rogers (Rogers), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rogers 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 $400,000.00  on May 22, 2020.

Time frame: Unspecified    \<char_lb_r>\, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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

FINRA BrokerCheck shows a settled customer complaint on May 22, 2020.

Client alleges that he did not authorize the establishment of a managed account or for trading to begin  2020  damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lapetina (Lapetina), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lapetina 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 $40,000.00  on May 21, 2020.

Time Frame: January 2, 2001 to December 28, 2012 What were the allegations against the individual? The client’s\<char_lb_r>\, attorney alleges the investments were unsuitable as they were illiquid and highly leveraged funds. The client’s attorney\<char_lb_r>\, further alleges the strategy was inappropriate and highly concentrated. The client’s attorney further alleges the client was misled to safety of the recommended investment. The attorney finally alleges adding further risk the firm provided a margin loan secured by the volatile fund assets in a brokerage account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Allen (Allen), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Allen 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 $64,900.00  on May 19, 2020.

Time Frame: February 03, 2020 to April 09, 2020\<char_lb_r>\, The client alleges his shares were not sold as instructed.

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

FINRA BrokerCheck shows a settled customer complaint on May 24, 2020.

Client complained that the financial advisor did not place trades as instructed, resulting in lost opportunity to take advantage of the subsequent market downturn. (2/19/2020-4/6/2020)

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

FINRA BrokerCheck shows a settled customer complaint on May 19, 2020.

Client verbally complained that the financial advisor previously told him the income rider would grow until the client began taking withdrawals, however, the financial advisor since advised it stopped growing on the recent 10-year benefit anniversary. (5/21/2009)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcello Lattuca (Lattuca), currently associated with Nbc Securities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Lattuca recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

CLAIMANTS ALLEGE UNSUITABLE RECOMMENDATIONS, FRAUDULENT MISREPRESENTATION, CHURNING, BREACH OF CONTRACT, NEGLIGENT SUPERVISION, AND BREACH OF FIDUCIARY DUTY. \<char_lb_r>\, EXACT DATE OF EVENTS IS NOT KNOWN BUT IS FROM PRIOR TO THE RR’S CURRENT EMPLOYMENT DATE AND CONTINUED THROUGH MARCH 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Korchak (Korchak), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Korchak 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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