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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Martin (Martin), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 08, 2023.

Client alleges the Financial Professional misrepresented the interval fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Jenkin (Jenkin), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkin 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 $100,000.00 on April 11, 2023.

Claimants allege Jenkin recommended and misrepresented investments in conservation easements.

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

FINRA BrokerCheck shows a settled customer complaint on April 11, 2023.

Client alleged, inter alia, that her instructions to invest her funds in safe short-term investments were not followed. 2021-2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Eiger (Eiger), currently associated with Chelsea Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Eiger 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 10, 2023.

Claimants allege that they were recommended unsuitable REIT investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Mccausland (Mccausland), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccausland 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 11, 2023.

Unsuitable Investments; Misleading Investment recommendations related to purchases of GWG L bonds for the period between February 2019 and June 2020.

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

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

The client alleges the financial professional misrepresented the variable life insurance product sold to him, which he now believes was unsuitable, resulting in a loss of return on his investment and unknown tax consequences.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Notrica (Notrica), currently associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Notrica  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 on April 11, 2023.

Customer alleges unsuitable investments and unreasonably high commissions and fees

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2023.

The complainant alleges that his registered representative sold stock, without his authorization, in or around, May 2022, and as a result, has incurred a tax liability. The complainant also states that he was sold life insurance he did not need, and he paid fees for financial planning, that were not justified for the services provided.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Spears (Spears), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spears 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 $13,588.54 on April 12, 2023.

The customer alleged the terms of the fixed annuity were misrepresented when she purchased it in or around January 2021 with proceeds from a rollover 401k held at Fidelity Investments.

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2023.

Client’s attorney alleges, inter alia, that investments and strategy recommended by FA were unsuitable, 2021-2023

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