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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darrell Schaper (Schaper), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schaper 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 $400,000.00  on March 20, 2020.

Unsuitable investments and misrepresentation alleged

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Baron Willis (Willis) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Willis was employed by Chelsea Financial Services at the time of the activity.  If you have been a victim of Willis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,979.19  on March 20, 2020.

Rep engaged in selling away without the firm’s authorization and investment became worthless

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ozer (Ozer), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ozer 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 $300,000.00  on March 20, 2020.

Clients allege wrongful conduct, Breach of fiduciary duty, Breach of written contract, Breach of oral contract, Violations of State and Federal Securities Laws. Financial Abuse. The claim alleges the events took place in 2014 (no specific dates were given).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kraus (Kraus), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kraus 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 alleges advisor failed to follow instructions. Allegation Activity Dates: 3/3/2020 – 3/23/2020.

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

The customer alleges failure to follow instructions on March 25, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Stellato (Stellato), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stellato 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 $11,927.68  on March 26, 2020.

Failure to follow instructions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Alford (Alford), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

The clients state that ‘I have to ask why the request we made last fall has not been completed.’ The clients allege that they spoke with the representative in October 2019 and requested a full account liquation which has not been completed. The client further states ‘we obviously shouldn’t pay the price for the delays on the part of TIAA.’

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Claimant alleges RR sold him a REIT that was unsuitable for his needs in 2014.

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Client alleges shares of stock were sold after client specifically requested they be held until further notice. Activity occurred between March 18, 2020 and March 26, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Morgan (Morgan), currently associated with J.P. Morgan Securities LLC, 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 $9,563.00  on March 25, 2020.

Client alleges misrepresentation and suitability regarding mutual fund investment. Activity dates 12/02/2019-01/13/2020.

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