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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2020.

Client complained that the financial advisor did not advise him that some of his investments had to be sold to facilitate the transfer his account, or that the sales would result in tax consequences. (11/21/2019-3/17/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Flanagan (Flanagan), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flanagan 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 $110,000.00  on March 30, 2020.

Alleges that representative’s actions have resulted in losses

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker D. G. (chip) Kensinger (Kensinger), currently associated with Bcg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kensinger 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 $40,876.00  on March 27, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services.  Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Fox (Fox), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $1,000,000.00  on March 30, 2020.

It is alleged that advisor misled claimant about her investments and misappropriated the funds transferred to him.

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.

Customer alleges the Mainstay Mutual Fund account he opened in March 2020 was for the purpose of having funds deposited into a no risk account however his funds were instead deposited into an account that had risks tied to the stock market.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Cheney (Cheney), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheney 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 $61,211.00  on March 31, 2020.

Client alleges unauthorized trading regarding mutual fund investment. Activity dates 03/23/2020-03/23/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Ureke (Ureke), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ureke 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 $20,000.00  on March 31, 2020.

The client alleges the financial advisor failed to follow instruction and move his account to cash before the account transferred out of the firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Tuthill (Tuthill), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuthill 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 $1,100.00  on March 31, 2020.

The complainant alleges that the rep forged his signature on an application for whole life insurance in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vishnupriya Samudrala (Samudrala), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Samudrala 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 April 01, 2020.

Client claimed that their financial advisor did not follow instructions to sell a mutual fund in a timely manner, within the dates period from 02/03/20 to 03/30/20.

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.

Customer alleges failure to follow instructions with respect to allocation of account. Activity dates 10/1/19 through 4/1/20

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