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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hoff (Hoff), previously associated with Dfpg Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoff 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 $500,000.00 on December 30, 2024.

Breach of Contract, Breach of Fiduciary Duty, Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Melz (Melz), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Melz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 11, 2025.

Client alleges misrepresentation in July 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seyed Ahmad Hashemian (Hashemian), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hashemian 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 23, 2025.

The customer alleges that during the period of 2020 through 2021 the Registered Representative recommended and misrepresented two unsuitable, high-risk, illiquid investments and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fagan (Fagan), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fagan 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 $125,000.00 on January 15, 2025.

Unsuitable recommendations of alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Scheiman (Scheiman), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Scheiman 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 $100,000.00 on January 20, 2025.

Registered representavie Jeffrey Rocheck invested customers in a non existing Real Estate 2017 to 04/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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 $50,000.00 on February 26, 2025.

Burton Bartlett II was named in a customer complaint that asserted the following causes of action: Unsuitable and Misleading Investment Recommendations, Material Misrepresentations and Omitted Material Facts, Fraudulent Concealment of Material Information, Negligence, Breach of Fiduciary Duty, and  Violation of Wisconsin Uniform Securities Law.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Anderson (Anderson), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $130,000.00 on April 07, 2025.

Rep failed to follow through on clients instructions to move their accounts to cash accounts before the downturn.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Guinto (Guinto), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinto 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 $5,532.38 on March 12, 2025.

The client complained that the Financial Advisor did not explain that commissions would be charged on the purchase of securities. The client requests reimbursement for all commissions paid. (12/24/2024 – 03/12/2025)

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

FINRA BrokerCheck shows a settled customer complaint on April 04, 2025.

The client alleged that he instructed his advisor not to rebalance account with cash from his settlement account needed to repurchase a house. The corrective trades caused a loss. Activity date was April 4, 2025 through April 7, 2025.

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Currently financial advisor Jason Gaylor (Gaylor), currently employed by brokerage firm LPL Financial 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 pending customer complaint with a damage request of $13,000.00 on April 08, 2025.

Client expressed his dissatisfaction with the performance and illiquidity features of certain recommended private placement investments.

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