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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Jaeger (Jaeger), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jaeger 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 $30,000.00 on December 22, 2021.

Client alleged advisor did not manage account in their best interest. Allegation Activity Dates: 10/29/2019 – 12/22/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Williams (Williams), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 January 03, 2022.

This is a product case, in which the firm was the only named respondent. The claim alleges that the firm did not conduct a reasonable due diligence of the product purchased by the client, Hospitality Investors Trust, Inc. (“HIT”), a publicly registered non-traded real estate investment trust. HIT was issued by American Realty Capital Properties, Inc. The client purchased $50,000 of HIT on or about 10/22/2015. HIT subsequently filed for Chapter 11 bankruptcy in May, 2021, and is ongoing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herman Kahn (Kahn), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kahn 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 $110,000.00 on December 29, 2021.

Claim alleges that the FP and firm failed to disclose the risky nature of 2 investments and that the transactions were not suitable based on investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Peyton (Peyton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peyton 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 $750,000.00 on January 03, 2022.

The customers allege lack of suitability and failure to conduct proper due diligence as it relates to the purchase of two alternative investment products. They further allege over concentration and the failure to disclose the risk factors of the investment products in question.

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer’s POA alleges that the recommendation to purchase annuities, including variable annuities purchased in June 2006 and March  2017 resulted very little liquidity. The POA requests to transfer or rollover the funds without any surrender fees or other penalties.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $6,989,702.00 on December 28, 2021.

Woods was a subject of the customers’ complaint against his member firm that asserted the following causes of action: violations of FINRA Rules; breach of fiduciary duty; aiding and abetting breach of fiduciary duty; breach of contract and breach of the duty of good faith and fair dealing; unlawful sales of securities; and respondeat superior/agency by estoppel liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Heublein (Heublein), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heublein 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 $140,000.00 on December 31, 2021.

Client is requesting compensation for option losses in which she alleges the representative provided poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clinton Warner (Warner), previously associated with Triad Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $10,612.00 on January 10, 2022.

In a written complaint dated January 10, 2022, addressed to Bankers Life and Casualty Company (BLC), an insurance company affiliate of the Firm, client alleged that a Guaranteed Lifetime Income Annuity (GLIA) and a Premium Bonus Indexed Annuity (PBIA) were unsuitable given her age and financial situation. Client further alleged she was unclear on the features of the products recommended due to being on pain medication at that time. Client requested BLC unwind these transactions and return her premiums. BLC denied the complaint and determined that the sale of the annuities were suitable and that the terms of the annuities were fully disclosed to the client, but as an accommodation allowed client to surrender her polices without penalties. While the annuities sold to the client were not securities and were issued by BLC, the Firm is reporting this complaint because the source of funding came from the sale of securities recommended by a former financial representative of the Firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Onassis Burress (Burress), previously associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burress 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 $8,146.77 on January 06, 2022.

Registered Rep Onassis Burress recommended the client rollover her appx $50K retirement account into the GALIC Index Summit 6 annuity in November 2020. The annuity contract was signed December 31, 2020. The funds rolled over into the account on February 5, 2021 but remained in the sweep account and were never placed in the annuity as planned. Client requested compensation for the lost earnings that she would have received if the funds had been invested as instructed. First Citizens Investor Services settled this matter via Restorative Payment in the amount of $8146.77 on March 4, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Auricchio (Auricchio), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Auricchio 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 $75,000.00 on January 12, 2022.

Alleged violations of state and federal securities laws including alleged excessive and unsuitable trading.

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