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

FINRA BrokerCheck shows a pending customer complaint on May 26, 2025.

Time Frame: May 19th, 2023 to June 20th, 2023\, What were the allegations against the individual? Client alleges that she “did not authorize the disbursements” from her IRA account in 2023 and the “electronic” signature use on the IRA Distribution Form was not made by her. Client further states she was never advised or consulted regarding the distributions and if she had been, she might have been able to corrected the situation within the 60 day time period.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott D. Jones (Jones), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $3,233,690.00 on May 23, 2025.

Time frame:     2016  to 2021\, Allegations: Claimant’s Counsel alleges (Team) fail to identify and escalate red flag issues associated with financial exploitation and made trades in the account that were not in the best interest of the claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Parviz Pourfarid (Pourfarid), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pourfarid 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 $160,000.00 on May 28, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nole 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 $161,151.00 on May 28, 2025.

[REDACTED] purchased 200k GWG in 2019, and requested part of her investment back as a result of the GWG Bankruptcy filing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Saunders (Saunders), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders 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 $97,500.00 on May 27, 2025.

The customers allege that the Registered Representative recommended an unsuitable, high-risk, complex, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claude Moore (Moore), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $200,000.00 on June 06, 2025.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims include violations of federal securities laws, violations ofSC Securities Act, violation of NC Securities Act, breach of contract, common law fraud, breach of fiduciary duty and, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montano (Montano), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montano 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 $61,109.00 on May 29, 2025.

Plaintiff alleges unexpected fees were to be assessed for taking a withdrawal.

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2025.

Time Frame: November 11th, 2024 to April 29th, 2025\, Client alleges he was told these investments (Alternative Investments) would be called within a year yet they have not been, creating a liability where funds cannot be invested elsewhere. Client further states the terms were mis- stated and would have never purchased these investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Eberhard (Eberhard), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eberhard 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 $100,000,000.00 on June 03, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2025.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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