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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spinosa (Spinosa), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Spinosa 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 $168,088.00 on June 11, 2021.

Unauthorized trading & suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 June 02, 2021.

Claimant alleges RR made unsuitable recommendations. Claimant alleges unsuitability, failure to disclose risks, and breach of contract.

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2021.

The customer alleges that unsuitable advice was rendered regarding a loan management account in February of 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Park (Park), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Park 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 $3,000,000.00 on June 09, 2021.

Claimants allege that the recommendation of investments in 2016 and 2018 were not suitable and that misrepresentations/omissions were made with regard to certain investment products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Joseph Gunnar & CO. LLC, 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 $166,000.00 on June 02, 2021.

Approximately six years after the fact, customers allege an investment was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Stricker (Stricker), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stricker 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 $23,995.00 on June 02, 2021.

A customer complaint alleging that a covered call option strategy was not closed out at the right time. Alleged activity took place between July, 2020 and May, 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 June 10, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Client, who inherited an annuity, complained that the financial advisor did not advise him of the deadline for processing the transfer of annuity ownership resulting in losses due to the shorter withdrawal timeframe. (6/15/2019-1/28/2021)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Obrien (Obrien), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 $9,500.00 on June 09, 2021.

Customer alleges the Registered Representative did not inform him of the front-end sales charge associated with the A share mutual fund he purchased on or around January 5, 2021.

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Claimants allege that their registered representative recommended unsuitable investments.

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