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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 18, 2020 to March 19, 2020  \<char_lb_r>\, The client alleges his trades were not completed as instructed. The alleged damages are estimated to be in excess of $5,000.00.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Barbour (Barbour), currently employed by Encompass More Investments, LLC 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), Barbour’s most recent customer complaint alleges that Barbour 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 $42,430.00  on March 23, 2020.

Customer purchased structured note in February, 2020. Following receipt of account statement, customer complained to the firm that the investment was unsuitable for her because of the fluctuation in value and her risk tolerance. Customer liquidated the position before her complaint was received by the firm, locking in the market loss.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joel Beeson (Beeson), previously employed by Bbva 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), Beeson’s most recent customer complaint alleges that Beeson 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 $42,430.00  on March 23, 2020.

Customer purchased structured note in February, 2020. Following receipt of account statement, customer complained to the firm that the investment was unsuitable for her because of the fluctuation in value and her risk tolerance. Customer liquidated the position before her complaint was received by the firm, locking in the market loss.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Customer alleges that she was told that her account value would never be lower that her initial deposit when she purchased a VA in October 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Skyler (Skyler), previously associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Skyler 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 $12,000.00  on March 21, 2020.

Client claims that her account was improperly managed resulting in market losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Shull (Shull), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shull 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 $730,631.25  on March 23, 2020.

Shull was a subject of the customers\\u2019 complaint against his member firm that asserted the following causes of action: fraud; misrepresentation; unsuitability; unsuitable product; breach of fiduciary duty; negligence; and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ilan Tsapovski (Tsapovski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tsapovski 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 $36,588.87  on March 24, 2020.

CLIENT OPENED CITI ADVISOR NON-DISCRETIONARY MANAGED ACCOUNT ON 2/14/2020. CLIENT ALLEGED THAT HE GAVE REGISTERED REPRESENTATIVE EXPLICIT INSTRUCTIONS THAT HIS MONEY WAS TO BE INVESTED IN A TRIPLE TAX FREE MUNICIPAL BOND FUND, AND WAS TOLD IF HE SHOULD EVER NEED ANY OF THE FUNDS HE COULD GET THEM ON A DAY’S NOTICE. INSTEAD OF FOLLOWING HIS INSTRUCTIONS, CLIENT ALLEGED REGISTERED REPRESENTATIVE BOUGHT AND SOLD VARIOUS SECURITIES OVER A PERIOD OF A MONTH DESPITE HIS OBJECTIONS. CLIENT CLAIMED THAT HE TRIED TO LIQUIDATE HIS ACCOUNT WHEN IT WAS DOWN APPROXIMATELY $20k ON MARCH 16 BUT WAS UNABLE TO DO SO UNTIL MARCH 18. CLIENT STATED THAT HIS ACCOUNT LOST APPROXIMATELY $37K AND HE WANTS TO RECOVER THE FUNDS. OCCURRENCE DATE: 2/18/2020 –  3/18/2020. REALIZED LOSSES:  $36,588.87.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 9, 2020 to March 19, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to match all of his accounts to low risk like one of his other accounts was not completed. The client further alleges unauthorized trading. 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 Charles Lanzillotto (Lanzillotto), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lanzillotto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 20, 2020.

Clients complained that the financial advisor did not move their assets to cash as instructed. (3/3/2020-3/13/2020)

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Client alleged that he instructed fa to reduce equities from 40% to 30% and move the 60% in fixed income in his managed account to cash in late February 2020. Damages unspecified

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