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

FINRA BrokerCheck shows a pending customer complaint on January 06, 2025.

The customer believes he was sold unsuitable real estate investments.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Blanchard (Blanchard), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 tax liens, alleging that Blanchard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 06, 2025.

Respondent Blanchard failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Heck (Heck), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heck 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 $5,000.00 on January 03, 2025.

Client alleges RR made an unsuitable recommendation, failed to disclose fees, and made misrepresentations in connection with a variable annuity purchased in 2020.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Lickiss 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 $567,000.00 on January 06, 2025.

Alleges fictious bonds from May 1999 to January of 2021 by father of the registered representative. The registered representative was not in the industry until 2016.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Catlaw (Catlaw), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Catlaw 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 $36,409.00 on January 06, 2025.

The customers allege they were not informed of the fees and charges related to the variable annuities they purchased in December 2022 and February 2023. The customer request to mitigate or recover the surrender charges assessed when they surrendered their contracts in January 2025.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Young 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 $101,400.00 on January 02, 2025.

Clients claim Willian Young failed to conduct a reasonable due diligence on the GWG investment, the GWG investment was misrepresented to the clients, and the GWG investment was unsuitable for the clients in view of their financial situations and needs, investment objectives and risk tolerance for their account

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Manning (Manning), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 tax liens, alleging that Manning recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 06, 2025.

Respondent Manning failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Felsenfeld (Felsenfeld), currently associated with Ameriprise Financial Services, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Felsenfeld 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 $101,400.00 on January 02, 2025.

Clients claim Willian Young failed to conduct a reasonable due diligence on the GWG investment, the GWG investment was misrepresented to the clients, and the GWG investment was unsuitable for the clients in view of their financial situations and needs, investment objectives and risk tolerance for their account

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dow (Dow), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Dow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 06, 2025.

Without admitting or denying the findings, Dow consented to the sanction and to the entry of findings that he refused to produce documents requested by FINRA in connection with its investigation into a Form U5 filed by his member firm relating to his administration of a family member client’s estate. The findings stated that the firm filed the U5 disclosing that Dow had terminated his association with the firm while under internal review for non-Firm approved activities involving representative’s family member, including serving as an executor of the family member’s estate and activities with respect to two outside checking accounts held with the family member.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pecoraro (Pecoraro), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pecoraro 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 $500,000.00 on January 02, 2025.

Negligence, Misrepresentation, Breach of Fiduciary Duty, Deception, Exploitation, Negligent Supervisor

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