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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lianzo (Lianzo), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lianzo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Joseph Lianzo was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barghini (Barghini), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barghini 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 October 10, 2022.

SUITABILITY, DUE DILIGENCE, BEACH OF CONTRACT, FAILURE TO SUPERVISE

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Mickey Mclellan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Sherman Felix was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Ingram (Ingram), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ingram 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 October 10, 2022.

Customer alleges that the oil and gas limited partnership purchased was not researched and vetted before allowing to be sold by representative therefore contributing to loss of principal invested.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,167,458.00 on October 12, 2022.

The plaintiff alleges that the representative mishandled   beneficiary change forms and misrepresented when the change forms were received causing the plaintiff to lose one half of the inheritance at issue. Allegations include breach of fiduciary duty, negligent undertaking, negligent representation and gross negligence.

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

FINRA BrokerCheck shows a settled customer complaint on October 11, 2022.

The policyowner alleges that when he purchased a variable annuity in June 2021 it was with the understanding he would receive 4% interest with the investment preservation rider included. The policyowner stated he has recently learned that the rider was not included with the policy and he is requesting that it be added at this time.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Ellefson (Ellefson), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ellefson 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 $538,000.00 on October 12, 2022.

Claimant(s) allege Breach of Fiduciary Duty, Negligent misrepresentations, Gross Negligence, violation of FINRA rules, Negligent supervision, breach of contract and Fraud.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Charles Malico (Malico), previously associated with Network 1 Financial Securities INC., has been subject to at least 3 disclosable events. These events include 2 customer complaints, one regulatory event. Several of those complaints against Malico  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on October 11, 2022.

Without admitting or denying the findings, Malico consented to the sanctions and to the entry of findings that he willfully violated the Best Interest Obligation under Rule 15l-1 of the Securities Exchange Act of 1934 (Regulation Best Interest or Reg BI) by recommending a series of transactions in a retail customer’s account that was excessive in light of the customer’s investment profile. The findings stated that the trades that Malico recommended in the customer’s account resulted in an annualized cost-to-equity ratio exceeding 158 percent – meaning that the customer’s account would have had to grow by more than 158 percent annually just to break even. Malico’s recommendations caused the customer to pay more than $54,000 in commissions and other trading costs, and made it virtually impossible for the customer to realize a profit. In fact, the customer lost more than $17,500 as a result of Malico’s recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Combs (Combs), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Combs 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 $348,500.00 on October 12, 2022.

Client alleges unsuitable recommendations regarding alternative investments made from 2006 to 2015.

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