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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Gitterman (Gitterman), currently associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gitterman 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 September 11, 2023.

Client claims misleading investment advice and failure to conduct reasonable due diligence in regards to the client’s investment in GPB Holdings II

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

FINRA BrokerCheck shows a settled customer complaint on September 12, 2023.

Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, the client is alleging there is a breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, and violation of regulation best interest.

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

FINRA BrokerCheck shows a settled customer complaint on September 12, 2023.

Time Frame: January 23rd 2023 to June 12th 2023\, \, What were the allegations against the individual? The client’s attorney alleges the portfolio of preferred securities was an unsuitable investment and the strategy was an overconcentration for his client. The client’s attorney further alleges that the client’s were repeatedly advised that everything is safe. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Quirk (Quirk), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quirk 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 $500,000.00 on September 22, 2023.

Statement of Claim alleges FP recommended unsuitable non-traded Real Estate Investment Trusts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Cardon (Cardon), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cardon 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 $63,733.00 on September 14, 2023.

Customer alleged that the representative did not explain potential tax implications to invest in a managed account.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on September 19, 2023.

Claims breach of contract, breach of fiduciary duty, churning, fraud, negligence, unauthorized and unsuitable trading

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Monken (Monken), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monken 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 $750,000.00 on September 21, 2023.

Claim alleges, inter alia, that the trading strategy implemented in the client’s account was not in her best interest 2020-2022

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

FINRA BrokerCheck shows a settled customer complaint on September 19, 2023.

The Customer alleges he was misled regarding surrender charges related to his variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Stiba (Stiba), currently associated with Lion Street Financial, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stiba 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 September 21, 2023.

Alternative investment, client alleges alternative investment was an inappropriate recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terrance Meyer (Meyer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $33,000.00 on September 15, 2023.

Customer alleged two variable life insurance policies were not fully explained and alleged breach of fiduciary duty.

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