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

FINRA BrokerCheck shows a settled customer complaint on October 04, 2021.

Claimant alleges that Wells Fargo by and through the Financial Advisor (FA) did negligent recommendations leading to significant financial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Rachele (Rachele), previously associated with H.d. Vest Investment Services, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rachele recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2021.

Respondent Rachele failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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

FINRA BrokerCheck shows a settled customer complaint on September 29, 2021.

Claimant alleges RR made unsuitable recommendations in the purchase of alternative investments between 2012 and 2014.

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Previously financial advisor Jeffrey Hallin (Hallin), previously employed by brokerage firm Cetera Advisor Networks 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 $30,000.00 on October 04, 2021.

Claimant alleges that their registered representative recommended unsuitable investments, including non-traded REITs.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on October 01, 2021.

Without admitting or denying the findings, Nordstrom consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA during the course of an investigation into whether he engaged in potential unsuitable and excessive trading in several customer accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Holmes (Holmes), previously associated with Concourse Financial Group Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $512,000.00 on October 04, 2021.

Claimant seeks compensatory damages under MetLife DI policy alleging that his addiction to alcohol is a disability under which the policy should pay claims. Allegation of breach of contract and misrepresentation by agent. Policy was purchased April 1, 2002. Claim originally made in 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mitchell (Mitchell), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mitchell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2021.

Respondent Mitchell failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mark Young (Young) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Young was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Young’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $4,179,859.03 on September 29, 2021.

Misrepresentation and unsuitability alleged with regard to a private investment fund…dates 2015 to 2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Reeve (Reeve), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reeve 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 $99,999.00 on October 04, 2021.

Claimant alleges their registered representative made unsuitable recommendations, misrepresented and omitted material information.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $6,000.00 on September 30, 2021.

It is alleged that FP solicited a personal loan of $6,000 from Claimant and did not pay back that loan.

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