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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Matthews (Matthews), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Matthews 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 $972,124.00 on June 25, 2021.

Matthews was a subject of the customer’s complaint against her member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Royal (Royal), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Royal 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 $6,000,000.00 on June 22, 2021.

Customers alleging the representative provided them with unsuitable investment advice, that the representative breached his fiduciary duty and contract, that the funds held in the variable life insurance policies were not as they requested and, that the representative failed to follow instructions. The representative denies these allegations.

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

FINRA BrokerCheck shows a settled customer complaint on June 28, 2021.

Claimants allege their former advisor made unsuitable trades in their managed accounts including investments in low priced securities and speculative companies. The Claimants further allege their advisor exacerbated the risk in their accounts by trading options and utilizing margin. They request unspecified damages.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Spiccati (Spiccati), previously associated with Bb & t Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Spiccati 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 $70,000.00 on June 24, 2021.

Claimant alleges the financial professional recommended he invest in a REIT and a Business Development Company which were unsuitable for his investment portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marybeth Martin (Martin), previously associated with HSBC Securities (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $100,000.00 on June 21, 2021.

Claimant alleges the financial professional recommended she invest in a reit unsuitable for her investment portfolio.

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

FINRA BrokerCheck shows a settled customer complaint on June 24, 2021.

Time Frame: June 18, 2021 \, The client alleges the FA misrepresented that his option would expire worthless as it was actually exercised and there was no action required. The alleged damages were estimated to be in excess of $5,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tornincaso (Tornincaso), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tornincaso 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 $100,000.00 on June 28, 2021.

Claimant alleges unsuitable investment recommendations and inadequate supervision and due diligence from 01/2014 through 06/2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Harris (Harris), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $40,000.00 on June 26, 2021.

Claimants allege unsuitable recommendation of HTI in September 2014.

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Previously financial advisor John Rice (Rice), previously employed by brokerage firm Independent Financial Group, 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 $250,000.00 on June 21, 2021.

Allege investment in non-traded REITs was not suitable

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2021.

Claimant alleges that the registered representative recommended unsuitable investments.

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