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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Johnson (Johnson), previously associated with Cadaret, Grant & Co., INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Johnson 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 $489,898.00 on April 03, 2023.

Claimant alleges that representative recommended alternative investments that were risky, unsuitable, and illiquid. Claimant further alleges that representative made materially false and misleading statements related to claimant’s assets.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nevin (Nevin), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nevin 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 $50,000.00 on April 06, 2023.

Breach of fiduciary duty, negligence and negligent representation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Merola (Merola), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Merola 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 $34,178.00 on April 05, 2023.

Client alleges that the tax consequences of surrendering her variable annuity to fund a managed account were misrepresented and that the product exchange was unsuitable. Alleged activity date was for 3/20/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Reynolds (Reynolds), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reynolds 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 $188,000.00 on April 03, 2023.

Claimant alleges that firm failed to supervise representative’s recommendations and that representative made unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Metcalf (Metcalf), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Metcalf 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 $489,898.00 on April 03, 2023.

Statement of Claim alleges representative failed in his duty to adequately supervise the subject representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mcmillen (Mcmillen), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Mcmillen 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 $125,000.00 on April 03, 2023.

Customer alleges lack of suitability, breach of fiduciary duty and negligence related to the purchase of alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gail Hilder (Hilder), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hilder 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 April 04, 2023.

In January 2021, the customers allege that the Registered Representative improperly recommended a high-risk and illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rajesh Shah (Shah), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shah 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 April 06, 2023.

Customers alleged the sales process for the life insurance policies did not address their financial needs and goals.

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

FINRA BrokerCheck shows a pending customer complaint on April 10, 2023.

Edward Jones alleges Mr. McGrath violated the 12-month Non-Solicitation Agreement on or about December 2022. Edward Jones further alleges Mr. McGrath has made disparaging remarks about the Firm and its employees to the Firm’s clients.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $800,000.00 on April 10, 2023.

From late 2017 through 2018, the customer alleges that the Registered Representative made unsuitable recommendations of risky, illiquid investments.

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