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Currently financial advisor Kennister Daley (Daley), currently employed by brokerage firm Allstate Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,001.00 on February 22, 2022.

SOC Alleges unsuitability, fraud in offer or sale of securities, misrepresentations and omissions of material facts, breach of contract, common law fraud, breach of fiduciary duty and negligence as it relates to the purchase of a non-traded REIT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Bizub (Bizub), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bizub 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 $16,440,221.00 on February 16, 2022.

Control Person Liability; Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathleen Bradley (Bradley), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Hollander (Hollander), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hollander 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 $2,500,000.00 on February 17, 2022.

Claimant alleges, inter alia, unsuitability with respect to FA’s recommendation to liquidate shares of an equity security – 2020 to 2022

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

[REDACTED] ([REDACTED]) alleges that representatives of MML assured him there would be no tax liability incurred from the transactions involving the exchange of multiple Equitable Financial variable annuities. [REDACTED] alleges that Michael Zagoria (Zagoria), as an “Equitable Subject Matter Expert”, “described the product and process to effect the change”, and “confirmed there would be no tax liability created by the change.” The exchange resulted in a tax liability to [REDACTED] and his spouse, [REDACTED]

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fordham (Fordham), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Fordham 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 $150,000.00 on February 26, 2022.

The client alleges the representative misrepresented the risk of Nuveen Flexible Income fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Weinstein (Weinstein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weinstein 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 $1,000,000.00 on February 28, 2022.

Client alleged that the risks associated with utilizing Exchange Traded Fund (ETF) Index Options was misrepresented by their advisor, resulting in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mauricio Assael (Assael), currently associated with Investment Placement Group, has at least one disclosable event. These events include one customer complaint, alleging that Assael 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 $40,000.00 on March 01, 2022.

Unsuitable recomendation based on bond performance

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