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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joy Shane (Shane), currently associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shane 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 $9,122.27 on May 23, 2022.

Plaintiff [REDACTED] filed a complaint in the US District Court for the Eastern District of Virginia, Alexandria Division, claiming damages of $9,122.27 plus punitive fees, etc.\\u00a0 The plaintiff alleges defendants (including First Command and Diane Shane), delayed in assisting him to reregister a joint account after the other joint owner passed away, which resulted in losses due to market fluctuation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Malachowski (Malachowski), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malachowski 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 $43,470.00 on May 20, 2022.

Not fully investigating and/or disclosing the full costs of an insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stewart (Stewart), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $16,416.14 on May 23, 2022.

The client alleges he was not informed of the surrender penalties when he liquidated his annuity.

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

FINRA BrokerCheck shows a final customer complaint on May 23, 2022.

Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kantar (Kantar), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kantar 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 $5,000.00 on May 27, 2022.

Customers alleged misrepresentation of their variable income payment plan contracts.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Brian Clark (Clark), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Clark  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 with a damage request of $815,157.00 on May 25, 2022.

Alleged excessive trading and inappropriate investments between 2008 and 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Mckennon (Mckennon), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mckennon 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 $30,022.40 on May 20, 2022.

The trustee alleges the financial advisor did not follow instructions to equally distribute assets to the beneficiaries.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Mcginley (Mcginley), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcginley 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 $94,978.00 on May 20, 2022.

Client alleges, inter alia, misrepresentation with respect to purchase of closed end funds 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dibernardo (Dibernardo), previously associated with Hornor, Townsend & Kent, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dibernardo 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 $70,000.00 on May 24, 2022.

Negligence, misrepresentation, misguided information and lack of advice provided which placed client in a compromising situation.

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

Client alleges purchases of two mutual funds were unsuitable   2021  damages unspecified

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