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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.

Time Frame: February 24, 2022 to February 25, 2022\, What were the allegations against the individual? \, The client alleges his Financial Advisor failed to follow his instructions by not purchasing an exchanged traded fund upon his request. The alleges damages are estimated to be $5,000.00.

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Black (Black), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Black 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 February 24, 2022.

Time frame:     2016-2019\, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Murray (Murray), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 $300,000.00 on March 01, 2022.

Client alleged that FA Murray solicited a loan investment for a third party business outside Morgan Stanley without the Firm’s authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lewis (Lewis), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lewis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.

Client alleged that his best interests were not taken into consideration when he took a lump sum distribution. The client claimed that he received no guidance regarding what was the best way for him to receive inherited funds as a beneficiary of an IRA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Alsdorf (Alsdorf), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alsdorf 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 $25,000.00 on March 02, 2022.

Client alleges unsuitability, breach of fiduciary duty, failure to supervise, material omission and negligence.

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Client alleged investment was unsuitable for her account

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2022.

Client alleges FA failed to follow instructions to liquidate his accounts which resulted in market loss to the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Brezovsky (Brezovsky), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brezovsky 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 $6,525.40 on March 04, 2022.

Customer alleges that in June 2021 he was not informed of the tax implications of surrendering a variable Universal Life Insurance policy with outstanding loans to fund a new policy with improved terms.

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

FINRA BrokerCheck shows a settled customer complaint on March 02, 2022.

The client alleges the financial advisor did not adequately disclose the tax consequences associated with the August 2021 rebalancing of her account.

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