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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Laderer (Laderer), currently associated with Henley & Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Laderer 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 $910,000.00 on January 12, 2022.

Customers allege 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 $910,000.00.

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2022.

Client alleges that the annuity purchased on 8/24/21 was unsuitable.

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

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

Claimant, now 85 years old, alleges that her Financial Advisor made repeated unsuitable recommendations to invest that were harmful to her.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lowry Bayley (Bayley), previously associated with Sanctuary Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bayley 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 January 16, 2022.

Alleged failure to diversify customer’s account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Kontos (Kontos), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kontos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 20, 2022.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI).  Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Payne (Payne), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Payne 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 $15,531,642.00 on January 19, 2022.

Client alleged FA made misrepresentations and unsuitable recommendations related to options trading strategy. 2018 to 2021

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

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

Client alleges he lost money due to advisor not placing trades on the day he requested by phone. The activity occurred between January 13, 2022 and January 18, 2022.

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2022.

The client alleges the financial advisor misrepresented there would be no tax consequences for liquidating U.S. Series EE savings bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Arndt (Arndt), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arndt 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 $18,500.00 on January 22, 2022.

Claimants allege unsuitable recommendations, material misrepresentation ^ omissions, control person liability & respondent superior, failure to supervise, and violations of FINRA 2020 & IM 2310-2.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wagner 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 $15,531,642.00 on January 19, 2022.

Client alleged FA employed unsuitable options investment strategy.

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