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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Sunstrom (Sunstrom), previously associated with G.f. Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sunstrom 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 February 24, 2022.

Plaintiffs filed complaint alleging violations of the North Carolina Securities Act and North Carolina General Statutes, breach of fiduciary duty, fraud and negligence in connection with allegedly unsuitable recommendations of alternative investments and fixed index annuities between 2012 and 2015. Mr. Sunstrom was specifically named as participating in the recommendations to 4 of the Plaintiffs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Thompson (Thompson), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 March 02, 2022.

Claimant alleges negligence, overconcentration, and unsuitable recommendations with regard to alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mccluskey (Mccluskey), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccluskey 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 $37,000.00 on February 28, 2022.

Customer alleges unsuitable mutual fund investment. Activity dates 02.28.22 – 03.25.22.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hobart (Hobart), previously associated with G.f. Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hobart 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 February 24, 2022.

Plaintiffs filed complaint alleging violations of the North Carolina Securities Act and North Carolina General Statutes, breach of fiduciary duty, fraud and negligence in connection with allegedly unsuitable recommendations of alternative investments and fixed index annuities between 2012 and 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Huthnance (Huthnance), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Huthnance 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 Joseph Langlois (Langlois), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Langlois 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 $870,000.00 on February 25, 2022.

Claimant alleges his financial advisers recommended unsuitable investments. Claimant generally alleges suitability, failure to supervise, negligence, and breach of contract.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dan Nguyen (Nguyen), currently associated with Essex Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Nguyen  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $160,000.00 on February 25, 2022.

Claimant alleges: Breach of Fiduciary Duty, Constructive Fraud, Churning, Negligence, Breach of Contract and Negligent Supervision

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Young (Young), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Young 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 March 02, 2022.

Claimant alleges negligence, overconcentration, and unsuitable recommendations with regard to alternative investments.

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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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