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

FINRA BrokerCheck shows a settled customer complaint on January 14, 2022.

Client alleges the RR misrepresented the tax implications of surrendering their annuity in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Warshaw (Warshaw), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Warshaw 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 $68,221.00 on January 17, 2022.

The trustee alleges unauthorized distributions occurred from the trust without her permission.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Airung Liu (Liu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 January 14, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was not suitable for the Claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Morgan Stanley, 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 $15,531,642.00 on January 19, 2022.

Client alleged FA employed unsuitable options investment strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Ingram (Ingram), previously associated with Silver Oak Securities, Incorporated, 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Gilrane (Gilrane), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gilrane 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 $400,000.00 on January 21, 2022.

Client alleges the rep recruited him for employment at his prior firm and omitted material facts concerning the opportunity and made representations that were false and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Cummings (Cummings), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cummings 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 January 21, 2022.

Claimant alleges misrepresentation and omissions of material fact, negligence and the sale of an unsuitable investment relative to the purchase of a real estate investment trust. Time period is 10/2014 through 12/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Skaar (Skaar), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Skaar 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 $2,120,734.40 on January 14, 2022.

Claimant alleges FP provided incorrect tax advice regarding stepping up the basis of securities held in an irrevocable trust.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Granata (Granata), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Granata 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 $995,797.00 on January 18, 2022.

Angela Granata was a Subject Of the customer’s complaint against her member firm and other named respondents that asserted the following causes of action: violations of FINRA Rule 2110, violations of FINRA Rule 2111: Recommending and Selling Securities Without Adequate Due Diligence and Without a Reasonable Basis, negligence, misrepresentations and omissions of material facts, breach of fiduciary duty, failure to supervise, and respondeat superior.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Hardee (Hardee), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardee 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 $430,000.00 on January 13, 2022.

Unsuitable, high risk , illiquid. Failed to do reasonable due diligence

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