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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Ianace (Ianace), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Ianace 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Nazaroff (Nazaroff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nazaroff 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 $32,000.00 on January 19, 2021.

Claimant alleges that the purchase of one reit investment in 2014 was unsuitable. Activity period:  12/2014 – 1/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Livorio (Livorio), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Livorio 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 $9,000.00 on January 25, 2021.

Failure to follow instructions from the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Foret (Foret), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foret 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 January 25, 2021.

Claimants allege that their advisor recommended that they utilize margin in their accounts that was not suitable for them and caused an increase in the management fees that they paid on their accounts. Claimants also allege their advisor recommended an unsuitable security in an account and overconcentrated a position a separate account.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Montville (Montville), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Montville  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 January 21, 2021.

Claimant asserts claims of violations of FINRA Rules, negligence, misrepresentations and omissions of fact, and breach of fiduciary duty arising from allegedly failing to halt Claimant from engaging in unspecified risky trades, excessive trading on margin, and\<char_lb_r>\, over-concentrated short position in one stock.From 2017 to 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Kinder (Kinder), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kinder 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 January 21, 2021.

The complainant alleges beginning in or around 2001, his portfolio was churned when inappropriate transactions were made in an effort to maximize the rep’s commissions at his expense.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Whalen (Whalen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Whalen 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 $492,171.00 on January 25, 2021.

Time Frame: January 2, 2017 to November 20, 2020  \<char_lb_r>\, Client’s Counsel alleges the account was invested in unsuitable securities, which were overconcentrated in the energy sector while also material information regarding the nature of the investments was omitted and not provided to the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Steege (Steege), previously associated with Western International Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Steege 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 $163,000.00 on January 20, 2021.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Dolin (Dolin), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dolin 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 $100,760.00 on January 22, 2021.

Unsuitable investment recommendation in private fund

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jaynes (Jaynes), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jaynes 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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