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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Falciano (Falciano), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Falciano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

The customer alleges failure to follow instructions from January 2020 until April 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Vriezema (Vriezema), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vriezema 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 $6,678.45  on April 17, 2020.

The client alleges that it was an unsuitable recommendation to use custodial Roth accounts as college savings vehicles for his children.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Exley (Exley), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Exley 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 $40,050.00  on April 16, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,050.00  on April 16, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cleckner (Cleckner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cleckner 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 $125,000.00  on April 20, 2020.

The firm received a FINRA notification of a customer complaint from [REDACTED] alleging the RR made four unauthorized withdrawals from her rollover IRA between 3/17/15 and 3/9/17 by forging her signature on one form and submitting three other forms that did not include her signature.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shelby (Shelby), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shelby 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, 2020.

CLAIMANTS ALLEGE THEIR ACCOUNTS WERE OVERCONCENTRATED IN  REIT’s AND ALTERNATIVE INVESTMENTS

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Owens (Owens), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Owens 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 $150,000.00  on April 17, 2020.

Allegations of improper investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Molnar (Molnar), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Molnar 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 15, 2020.

Customer alleged the representative’s advice and actions caused a variable annuity that the customer owned through Minnesota Life Insurance Company/Securian Financial to lose value, and that representative did not adequately fulfill his responsibilities to her and provided her with incorrect information about the effect of taking withdrawals (which occurred in late 2012, early 2013) from the variable annuity.

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

Failure to conduct adequate Due Diligence, Negligence, Misrepresentation, Breach of Fiduciary Duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Bittermann (Bittermann), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bittermann 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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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Paul Akre (Akre) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Akre was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity.  If you have been a victim of Akre’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on April 16, 2020.

Claimants allege FA sold them private securities that were unsuitable investments

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