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

FINRA BrokerCheck shows a pending customer complaint on March 17, 2023.

Claimants allege representative made unsuitable investment recommendations during the period of January 2018 to June 2021

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2023.

Client Alleges, Inter alia, misrepresentation with respect to private equity investments 2018-2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Evans (Evans), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Evans 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 $1,626,972.00 on March 16, 2023.

Customer alleges that advisor breached his fiduciary duties by approving cash withdrawals, which indirectly benefitted the advisor. Time period June 2021 to August 2022.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Rick Davidson (Davidson), currently associated with American Trust Investment Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Davidson  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 $800,000.00 on March 18, 2023.

Time frame: 2020 – 2023. Claimants allege unsuitable investment recommendations, churning, excessive trading and misrepresentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melvin Jacobi (Jacobi), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobi 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 $25,000.00 on March 20, 2023.

Investment made December, 2017 in GWG L-bond. L-Bond stopped paying interest in February 2022 and in April, 2022, GWG filed for re-organization under Chapter 11 bankruptcy. Plan to exit bankruptcy currently being reviewed by court.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hillard Rest (Rest), previously associated with Jrl Capital Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rest 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 $400,000.00 on March 20, 2023.

Claimants allege suitability, misrepresentation and omission of material facts, negligence, breach of fiduciary duty and failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Mauro (Mauro), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mauro 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 March 16, 2023.

Client alleges that variable and fixed index annuities purchased in May – June 2022 were misrepresented and unsuitable.

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Currently financial advisor Rachel Heege Abode (Heege Abode), currently employed by brokerage firm Cetera Wealth Services, 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 $30,000.00 on March 24, 2023.

Claimant alleges Rep recommended speculative purchases in illiquid REITs

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Graham (Graham), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Graham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 27, 2023.

Violations of the Utah Securities Act, fraud, breach of fiduciary duty, professional negligence, unsuitability, violation of FINRA Code of Conduct, and breach of advisory and brokerage agreements.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Osten (Osten), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Osten 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 $400,000.00 on March 28, 2023.

Claimant alleges that from 2019 to 2021, Defendants did not take adequate steps to stop transfers authorized by Claimant to an online scammer.

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