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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margaret Wiley (Wiley), currently associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wiley 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 $7,811.36  on May 28, 2020.

Client alleges advisor misrepresented annuity payout options. Alleged Activity dates: 12/19/19 – 2/01/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Grubb (Grubb), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Grubb 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 May 29, 2020.

Clients allege that RR misrepresented the products sold to them. Allegations were made that the products purchased were unsuitable for their risk tolerance and inexperienced investing.

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges misrepresentation in the sale of an insurance policy in 2018.

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kinan Nimeh (Nimeh), previously associated with Garden State Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nimeh 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 $50,000.00  on May 26, 2020.

Over-concentration in a security, unsuitable transactions. Time period approx 2011-2015.

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

The customer alleges misrepresentations and failure to follow instructions from May 2019 through May 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Guinta (Guinta), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guinta 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 $49,999.99  on June 01, 2020.

Client through attorney, alleges breach of fiduciary duty, misrepresentation and unsuitable investment recommendations by RR from August 2012 through October 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stophel (Stophel), previously associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stophel 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 May 26, 2020.

Client alleges Unsuitable investment into GPB Automotive Portfolio, LP and GPB Capital Holdings II, purchased through Mr. Stophel’s Registered Investment Advisory firm, away from Purshe Kaplan Sterling Investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Gonzalez Rivera (Gonzalez Rivera), currently associated with Oriental Financial Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gonzalez Rivera 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 $160,000.00  on May 26, 2020.

Period nov 2013.alleges concentration in puerto rico , misrepresentation risk, unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Nagel (Nagel), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nagel 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 May 26, 2020.

Client alleges that there were delays in processing his 1035 variable annuity exchange which caused him to incur market losses. Alleged activity dates: 1/29/20-5/26/20

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