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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Saar (Saar), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Saar 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 July 03, 2023.

Client alleges registered representative recommended an unsuitable investment.

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

FINRA BrokerCheck shows a final customer complaint on June 29, 2023.

Without admitting or denying the findings, Way consented to the sanctions and to the entry of findings that he refused to provide documents and information requested FINRA in connection with an investigation. The findings stated that this matter originated from FINRA’s review of a Form U5 filed by Way’s member firm, that stated that he was permitted to resign while under internal review for potential sales practice violations. Way responded to FINRA’s initial request, however, he ultimately refused to produce the information and documents requested.

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

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

Client  complained about the size of several municipal bond positions acquired between 2017 and 2019 and questioned the performance/value of such bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Harris (Harris), previously associated with Union Capital Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Harris 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 $15,000.00 on June 27, 2023.

Poor performance/advise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Parker King (King), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that King 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 July 11, 2023.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.   Reg BI is drawn from fiduciary principles that include an obligation to act in the retail investor’s best interest and the broker is prohibited from placing their own interests ahead of the investor’s interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Delafuente (Delafuente), previously associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delafuente 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 $2,200,000.00 on July 12, 2023.

Claimants had been clients of USCA since 2015. DeLaFuente handled their accounts until late 2020. Claimants allege DeLaFuente failed to properly structure their accounts to meet their retirement goals and alleged that they participated in outside investment opportunities along with DeLaFuente in which he did not disclose conflicts. Specific allegations in the statement of claim include negligence, gross negligence, failure to supervise, and breach of fiduciary duty.

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2023.

Claim filed by the successor trustee of the (now deceased) client’s trust. Statement of Claim alleges representatives violated Regulation Best Interest and liquidated a conservative, low risk portfolio to purchase highly speculative, risky mutual funds with high front-end sales charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker April Waldman (Waldman), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waldman 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 $40,000.00 on July 06, 2023.

In November 2020, the customers allege that the Registered Representative improperly recommended a high-risk and illiquid investment.

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2023.

Claim filed by the successor trustee of the (now deceased) client’s trust. Statement of Claim alleges representatives violated Regulation Best Interest and liquidated a conservative, low risk portfolio to purchase highly speculative, risky mutual funds with high front-end sales charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Latour (Latour), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latour 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 $100,000.00 on July 06, 2023.

Client alleges the registered representative recommended an unsuitable investment.

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