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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Hargrave (Hargrave), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hargrave 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 September 26, 2022.

Claimants allege that Hargrave misrepresented details of a life insurance policy

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jared Kaplan (Kaplan), previously employed by Newedge Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kaplan’s most recent customer complaint alleges that Kaplan recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $26,000.00 on September 16, 2022.

Customer alleges unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Springberg (Springberg), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Springberg 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 $31,026.00 on October 04, 2022.

Claim alleges representative failed to act as instructed and contrary to client interest by investing trust funds in unsuitable investments given risk tolerance and timeframe.

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2022.

Trustee complained that there was a delay in his instructions to sell, which resulted in losses. (6/23/2022-7/8/2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pollmann (Pollmann), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Pollmann 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 $54,821.00 on September 27, 2022.

CUSTOMER ALLEGES A RECOMMENDATION TO SURRENDER ANNUITY PRODUCTS WAS NOT SUITABLE AND THAT SURRENDER CHARGES WERE NOT ADEQUATELY DISCLOSED.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Johnson (Johnson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, 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 on September 19, 2022.

The customers allege that the registered representative did not take their best interests into consideration when a loan was taken against their Chevron stock in July 2020.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $500,000.00 on October 04, 2022.

Shawn Bumgardner was a subject of the customer’s complaint against his member firm that asserted the following causes of action: violation of the Michigan Uniform Securities Act; negligence; failure to act in Claimant’s best interest; misrepresentation and omission of material facts; violations of other industry standards of care, including FINRA Rules 2010, 2090, 2020, and 3110; breach of fiduciary duty; breach of contract; and respondeat superior.

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

FINRA BrokerCheck shows a settled customer complaint on September 16, 2022.

Client alleges unauthorized trading in his account from February 2022 to August 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Naomi Johnson (Johnson), previously associated with Capital Investment Group, INC., 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 $10,000.00 on September 20, 2022.

The two purchases of GWG Holdings, Inc. made by [REDACTED], which are the subject of the statement of claim, were:  $10,000 in March, 2019 and $20,000 in June, 2020. Naomi Johnson was her representative only on the $10,000 purchase in March, 2019, prior to her retirement from Capital Investment Group, Inc.

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2022.

Time Frame: May19, 2022  to September 23, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor failed to get him out of his unsuitable assets as instructed. The alleged damaged are estimated to be in excess of $5,000.00

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