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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Schepper (Schepper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schepper 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 December 16, 2021.

Claimant alleges financial advisor recommended unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Germano Alessi (Germano Alessi), currently associated with Henley & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Germano Alessi 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 $1,000,000.00 on December 16, 2021.

Customer alleges Firm failed to provide reasonable, adequate and meaningful supervision over Firm’s branch office, allowing its registered representative, to carry out a Ponzi scheme to defraud and misappropriate approximately $1,000,000.00.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Pratul Agnihotri (Agnihotri), previously associated with Sw Financial, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Agnihotri  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 with a damage request of $83,086.81 on December 10, 2021.

Time Frame: February 2013 through to Present. Alleged Allegations: Churning, Unsuitability, Breach of Fiduciary Contract, Misrepresentation, Unauthorized Trading, Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Wacker (Wacker), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wacker 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 $400,000,000.00 on December 14, 2021.

Time frame:December 2015 through September 2020\, Allegations: Claimants allege they received unsuitable and risky investment strategy recommendations which involved using margin debt and “aggregate” credit to support trading including short selling and complex options trading of Tesla.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Stein (Stein), previously associated with Quint Capital Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 $300,000.00 on December 16, 2021.

Attorney for the client alleges unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Alexander (Alexander), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alexander 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 $21,000.00 on December 13, 2021.

The customer alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Collins (Collins), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 December 16, 2021.

Client alleges unsuitable investment recommendations in July 2015 and other causes of action.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Stark (Stark), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stark 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 December 15, 2021.

Claimant allege breach of contract, violations of State Securities Statutes and claims under common law.

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2021.

The customer alleges unauthorized trading on December 13, 2021.

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

FINRA BrokerCheck shows a settled customer complaint on December 13, 2021.

Unsuitable recommendation of GPB Automotive and other alternative investments.

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