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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tucker Johnson (Johnson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $65,000.00 on June 02, 2025.

Client alleges failure to follow instructions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wick (Wick), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wick 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 $111,584.00 on June 04, 2025.

Customer alleged that in or around February 2022, the Representative, in the sale of a variable universal life insurance policy, did not adequately explain how the policy worked and made untrue statements about the policy. Customer also alleged that after the policy was in place, the Representative misrepresented the policy’s value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Srmek (Srmek), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Srmek 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 $32,000.00 on June 27, 2025.

Client alleged that his former advisors liquidated assets in 2024, without the client’s authorization, for the purpose of purchasing an annuity. In addition, the client alleged that the tax ramifications of the liquidating trades in question generated $153,315.13 in capital gains ($104,126.91 long-term and $49,188.22 short-term) which were not disclosed.

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Hill (Hill), currently employed by LPL Financial 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), Hill’s most recent customer complaint alleges that Hill recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on July 01, 2025.

Claimant alleges his financial professional recommended an unsuitable investment in structured notes from April 2021 – July 2025.

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Claimant alleges, inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014 -2024

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Trustee alleges that the financial professional provided inaccurate advice regarding disbursement of funds from the trust causing additional tax liabilities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ejiro Okuma (Okuma), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Okuma 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 $9,143,000.00 on June 04, 2025.

Claimant alleges registered representative took control of Claimant’s accounts converting funds to systemically enrich himself and a family member.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Nunez (Nunez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nunez 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 $967.00 on June 04, 2025.

Trustee met with a banker at the subscribing institution where Osaic Institutions has an office located. She expressed verbal concern that an annuity she agreed to purchase in November 2024 was never issued.\, \, Trustee followed up with an email indicating she met with the FP once only on 11/12/2024. Trustee further alleges signature made on 05/02/2025 was not signed by her. Trustee is certain of this because she would have noticed her name was misspelled and the tin used for the trust actually belonged to the grantor. She indicates any signatures made after 11/12/2024 were forged, or copied and pated on all documents.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Messenger (Messenger), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Messenger 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 $20,000.00 on July 01, 2025.

Client alleges that Financial Advisor illegally transferred $20,000 from his 401k into the FA’s personal account.

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