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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Beber (Beber), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beber 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 February 14, 2022.

Alleges investment was not in line with client’s stated objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Chung (Chung), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Chung 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kendall Groom (Groom), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groom 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 $90,000.00 on February 14, 2022.

Client alleges their registered representative made unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Chin Chen (Chen), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 09, 2022.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lademan (Lademan), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lademan 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 $500,000.00 on February 14, 2022.

Breach of Fiduciary Duty, unsuitible investments, negligent supervion, breach of contract

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Lubell (Lubell), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lubell’s most recent customer complaint alleges that Lubell recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,000.00 on February 09, 2022.

Time frame: January 2012 -January 2022   \, \, Allegations: Claimant alleges UBS recommended unsuitable and esoteric structured products and notes without adequate warnings and details.

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

FINRA BrokerCheck shows a pending customer complaint on February 14, 2022.

Claimant alleges, inter alia, misrepresentation with respect to annuity investment – 2015 to 2018

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

FINRA BrokerCheck shows a settled customer complaint on February 18, 2022.

The client alleges the advice the financial advisor gave to surrender two variable annuities has caused unexpected tax implications and was not in her best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Greer (Greer), previously associated with G.f. Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Greer 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 $25,000.00 on February 24, 2022.

Plaintiffs filed complaint alleging violations of the North Carolina Securities Act and North Carolina General Statutes, breach of fiduciary duty, fraud and negligence in connection with allegedly unsuitable recommendations of alternative investments and fixed index annuities between 2012 and 2015. Mr. Greer was specifically named as participating in the recommendations to 5 of the Plaintiffs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $178,909.16 on February 22, 2022.

Claimant alleges that her advisor sold her an unsuitable portfolio of mutual funds in her advisory account. Time period 3/3/2021 to 3/14/2022.

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