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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Romano (Romano), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 March 30, 2023.

Unsuitable investments

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Claimants allege they were recommended unsuitable investments.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Efrain Trujillo (Trujillo), previously associated with Western International Securities, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Trujillo  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 $30,750.00 on April 02, 2023.

Complaint regarding non-payment of promissory note and potential excessive trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mayes (Mayes), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mayes 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 March 28, 2023.

Unsuitability; Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Oneill (Oneill), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oneill 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 March 30, 2023.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Iglow (Iglow), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Iglow 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 $231,826.00 on March 29, 2023.

Claimants allege Negligence/Unsuitability, Violations of California Securities Law, Violations of FINRA Rules & Federal Securities Laws, Breach of Contract, Negligent Supervision, Respondent Superior, and Breach of Contract based on misrepresentations and omissions in connection with purchases of Capital Trust Agency Florida Senior Living Bonds in 2019 and 2020

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Customer is alleging Breach of Fiduciary Duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Randall (Randall), currently associated with U.S. Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall 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 $11,000.00 on April 01, 2023.

Customer, [REDACTED],  had POA over mother’s account ([REDCATED]) and requested account liquidated (1 stock). Due to delay in receiving legal documents because of US Brokerage email issues and unforeseen family medical issues with my mother her instructions were delayed being executed because of my inaction. DEC 22 1st contact, Mar 23 STOCK SOLD AND CHECK CUT. Micron Stock declined in value approx $11k. Reached settlement with POA [REDACTED] for $10,000 MAY 24

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Virgin Iii (Virgin Iii), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Virgin Iii 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 $50,000.00 on March 30, 2023.

Time frame: 2019-2021 Allegations: Claimant alleges unsuitability of certain investments and that such investments resulted in principal losses

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Davie Ambrose (Ambrose), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Ambrose 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 $300,000.00 on April 02, 2023.

Customer alleges that mr. Ambrose invested customer’s funds in products without clients understanding or direction.

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