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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.

Client alleges former Financial Advisor recommended the sell of indexed annuities in December 2021, creating large penalties and tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danielle Scodellaro (Scodellaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scodellaro 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 $233,512.83 on December 21, 2022.

The customer alleged the variable annuity contract was misrepresented, and sought to have it rescinded. 2/24/2023 – following a secondary review, the firm concluded that its representative, Ms. Scodellaro, did not make any misrepresentation to the customer. Nonetheless because the customer apparently did not fully understand the product, the firm determined that a settlement for the difference between the current contract value and the original principal investment was appropriate and in the interests of the customer.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Steven Lovell (Lovell), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lovell’s most recent customer complaint alleges that Lovell recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $18,604.42 on December 22, 2022.

Client alleges surrender schedule and charges, in relation to her Equitable Structured Cap Strategies VA, were not disclosed at the time of purchase in August 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Miller (Miller), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, 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 $69,062.42 on December 22, 2022.

SUITABILITY AND CHURNING, BREACH OF FUDUCIARY DUTY, BREACH OF CONTRACT, NEGLIGENCE, MISREPRESENTATION AND OMISSION OF FACTS, AND LOST OPPORTUNITY AND PUNITIVE DAMAGES.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Steiner (Steiner), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner 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 December 20, 2022.

Claimants allege unsuitable investment advice on alternative investment product. I was introduced to Claimants through one of my other clients in February 2020 and the recommendation occurred in May 2020.

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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.

Customer alleges representative failed to execute a sell order timely, which led to a decline of his account’s value. Activity period: January through April 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Murphy (Murphy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $350,000.00 on December 23, 2022.

Client alleges the representative provided poor investment advice between approximately September 2021 and July 2022 which caused losses of approximately $350,000. Client also alleges that the representative offered to reimburse the Client’s losses through various means.

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

FINRA BrokerCheck shows a settled customer complaint on December 20, 2022.

CLIENT ALLEGED THAT HIS INSTRUCTIONS ON HOW TO INVEST THE FUNDS IN HIS MANAGED ACCOUNT WERE NOT FOLLOWED. DAMAGES UNSPECIFIED 2015-2022

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Badolato (Badolato), currently employed by Key Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Badolato’s most recent customer complaint alleges that Badolato recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $82,000.00 on December 28, 2022.

The complaint was received by the firm as a direct arbitration claim filing. Through statement of claim, client alleges misrepresentation by the RR in the March 2021 purchase of a structured CD in the amount of $82,000.00.

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