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

FINRA BrokerCheck shows a pending customer complaint on April 15, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Cahill (Cahill), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cahill 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 April 10, 2025.

Client alleges tax consequences as a result of a poor recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tami Lanzisera (Lanzisera), currently associated with Ashton Thomas Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lanzisera 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 $379,560.70 on April 22, 2025.

On or about April 22, 2025, complainants alleged that FA did not open the correct type of account. Due to this, beneficiary designations were not properly documented, causing financial harm to the complainants. Alleged damage amount is $ 379,560.70. The matter is currently under internal review by the firm.

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

Guardian for client alleges advisor did not follow instructions related to client’s estate plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Cason (Cason), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cason 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 $150,000.00 on April 18, 2025.

Claimant alleges that the recommendation of certain shares of illiquid preferred stock was not in keeping with her needs and objectives, and that the features and risks of the investment were not properly disclosed to her.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $402,100.00 on April 10, 2025.

The Executor for the estate of the deceased alleged that the deceased client’s advisor took advantage of his fiduciary role by becoming the Attorney-in-Fact (AIF), primary caregiver and added his name and address on the deceased client’s bank accounts. The advisor then allegedly misappropriated client assets.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter 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 $300,000.00 on April 15, 2025.

Client is claiming losses due to poor recommendation for investments made in 2019 and 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Labine (Labine), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Labine 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 $95,000.00 on April 22, 2025.

Breach of fiduciary duty and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Calvin Heck (Heck), currently associated with Wedbush Securities INC., 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 on April 16, 2025.

Customer alleges FA misrepresented the tax consequences relating to a life insurance policy purchase in 1987.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Hobert (Hobert), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hobert 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 $99,000.00 on April 23, 2025.

Customer alleges that in November of 2019, the Registered Representative recommended an unsuitable, high-risk, illiquid investment.

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