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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ezri Shechter (Shechter), previously associated with Spencer-winston Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shechter 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 $25,000.00  on June 18, 2020.

Unauthorized trading, use of discretion, suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melisa Bechara Fagundo (Bechara Fagundo), previously associated with Popular Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bechara Fagundo 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 $180,000.00  on June 18, 2020.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mariondy Fernandez (Fernandez), previously associated with Santander Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fernandez 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 $500,000.00  on June 16, 2020.

Client’s allege over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise, breach of duty of good faith and fair dealing (Puerto Rico bonds, open-end funds, and closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Kenny (Kenny), currently associated with Hilltop Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kenny recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 16, 2020.

Claimants allege that MLP investments made in their discretionary investment advisory accounts while at RBC Capital Markets were not suitable for their investment objectives. Upon transfer to BB&T Securities in 2016, the accounts maintained investments in question. The claimants have alleged failure to treat Claimants justly and equitably, negligent misrepresentation, omission and supervision, fraudulent misrepresentation and omission, breach of fiduciary duty, breach of contract, and violation of federal and state securities laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Whipple (Whipple), previously associated with Kalos Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Whipple recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 19, 2020.

Multi-claimant case, alleging unsuitability, misrepresentation, and lack of due diligence relative to UDF IV.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Cueter (Cueter), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cueter 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 $6,921.00  on June 17, 2020.

Client alleges that she overpaid for her mutual fund investments by purchasing and holding Class C shares, from various purchase dates starting in October 2011, versus lower cost share alternatives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lazaro Fernandez Paredes (Fernandez Paredes), previously associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fernandez Paredes 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 $500,000.00  on June 16, 2020.

Client’s allege over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise, breach of duty of good faith and fair dealing (Puerto Rico bonds, open-end funds, and closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio Battaglia (Battaglia), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Battaglia 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 $5,960.94  on June 19, 2020.

Customer alleges misrepresentation in the sale of an insurance product causing a taxable event.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leland Whiting (Whiting), previously associated with Hornor, Townsend & Kent, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Whiting 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 $257,509.00  on June 15, 2020.

INRA arbitration alleging that HTK registered representative Leland Blair Whiting sold unregistered securities issued by Future Income Payments, LLC. It claims ‘at least $257,509′ actual damages, benefit of the bargain damages, model portfolio damages, lost opportunity costs, unspecified punitive damages, interest, costs and attorneys’ fees. The causes of action are Violations of Federal Securities Laws (sale of unregistered securities and fraud); Violations of Utah Securities Act (sale of unregistered securities, unsuitability, misrepresentation, and omission of material fact); Violations of Idaho Securities Act (sale of unregistered securities, unsuitability, misrepresentation, and omission of material fact)Violation of the Idaho Consumer Protection Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrico Franco (Franco), currently associated with World Investments, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Franco 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 $100,000.00  on June 22, 2020.

Claimant believes rep placed his retirement assets into speculative/high commission alternative investments that were unsuitable; believes majority of his retirement assets were lost under reps care and guidance

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