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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Schultz (Schultz), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $149,000.00 on May 22, 2023.

Suitability/negligence. 2020-2021

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

FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.

Time Frame: October 4th 2021 to May 30th 2023\, \, What were the allegations against the individual? The Trustee alleges the Financial Advisor did not give him prior notice before buying the Equity. The alleged damages are 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 Jeffrey Johnson (Johnson), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $41,413.47 on May 24, 2023.

The clients allege their Dollar Cost Averaging (DCA) arrangement inactivated in 2016 in error, resulting in their Indexed Universal Life (IUL) policies being underfunded as their cash value remained in the fixed account. In addition, one client alleged that there was also a missed premium payment of $42,000 in August of 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Meyer (Meyer), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 May 26, 2023.

Claimants are the trustee and beneficiary of the client’s irrevocable trust. Claimants allege Respondents executed securities transactions and sent funds to the client without the authorization of the trustee purportedly preventing the client from qualifying for Medicaid benefits.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Shirah (Shirah), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shirah 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 $49,000.00 on May 26, 2023.

Per U5 submission, “Client alleges registered representative recommended unsuitable investment.”

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Callahan (Callahan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Callahan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.

Customer alleges misrepresentation, unsuitable investment recommendations and failure to act in customers best interest regarding investment strategies from September 2021 to March 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yancey Carter (Carter), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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, 2023.

In or around July 2020, Claimants’ Financial Advisor (FA) misrepresented the risks of loss involved with short selling shares of stock in their account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Morgan (Morgan), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Morgan 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 $1,000,000.00 on May 30, 2023.

Suitability/Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Sonntag (Sonntag), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sonntag 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 May 23, 2023.

Claimants allege Representative improperly recommended a high-risk investment in GWG L Bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Tucker (Tucker), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tucker 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 24, 2023.

Unsuitability; Misrepresentation

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