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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerry Beslin (Beslin), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Beslin 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 $11,002.00  on June 29, 2020.

The customer alleges the RR never advised him in September 2019 that he would incur a tax obligation when she recommended that he exchange one fund for another in his Mainstay mutual fund account. As a result of the poor recommendation, the customer alleged he incurred an $11,000 additional tax obligation and he is requesting to be made whole for the extra taxes incurred.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Gore (Gore), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gore 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 $20,000.00  on July 02, 2020.

Customer alleges that a business development company investment sold to him in 2014 was an unsuitable, high risk, speculative, high commission investment, and he suffered damages of at least $20,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Turetzky (Turetzky), previously associated with Ameriprise Financial Services, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Turetzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 02, 2020.

Claimants allege, failure to supervise with respect to Financial Advisor’s management of accounts – July 2014 to December 2016

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Cadan (Cadan), previously associated with Morgan Stanley, has been subject to at least 6 disclosable events. These events include 6 customer complaints. Several of those complaints against Cadan  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 on July 02, 2020.

Claimants allege, inter alia, Excessive trading with respect to investments – July 2014 to December 2016

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Savoy (Savoy), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Savoy 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 July 06, 2020.

Allegations of breach of contract, unsuitability, beach of fiduciary duty and professional negligence from approximately 2013 to Sep 2017.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Kiley (Kiley), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kiley 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 $1,138,244.00  on June 30, 2020.

Clients allege products sold were unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Ridley (Ridley), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ridley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

Client complained that Financial Advisor did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. (6/14/2018-12/13/2018)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marvin Vick (Vick), previously associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vick 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 $86,437.42  on June 30, 2020.

Claimant alleges that starting in January 2015, respondent recommended he purchase shares in an unsuitable limited partnership, Vanguard Natural Resources (“VNR”), which caused him to incur $86,437.42 in taxes and penalties in his ROTH IRA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wynn (Wynn), previously associated with Park Avenue Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wynn 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 30, 2020.

Claimants allege the RR invested their money in unsuitable investments based on their stated investment objectives.

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Currently financial advisor Michael Lucia (Lucia), currently employed by brokerage firm Integrity Alliance, LLC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $5,000.00  on July 06, 2020.

Claimant alleges unsuitable recommendations of REITs and BDCs. Date of Activity:8/23/15 to 6/17/20

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