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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Tomer (Tomer), currently associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tomer 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 $15,060.00  on April 02, 2020.

Executor feels unnecessary delays were made in liquidating the estate account which resulted in decreased value in the account at the time of liquidation in March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn West (West), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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.

Claimant alleges that in September 2018 advisor recommended an unsuitable investment in a structured note which the advisor then unilaterally sold in March 2020.

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Currently financial advisor Donald Grant (Grant), currently employed by brokerage firm Kestra Investment Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $93,000.00  on April 01, 2020.

Claimant alleges that, during the time frame 2013 – 2015 Mr. Grant misrepresented the risks associated with Non-Traded REITs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tarleton (Tarleton), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tarleton 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 $22,749.00  on April 01, 2020.

Client complained that the financial advisor did not inform him of the trades he placed in the account. (3/23/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Izzo (Izzo), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Izzo 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.

The customer alleges unsuitable investment recommendations from November 2017 until January 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Donahue (Donahue), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Donahue 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 $115,000.00  on April 01, 2020.

The customer alleged that the representative invested his assets in unsuitable REIT’s without his knowledge, mismanaged his mutual fund portfolio with an untimely recommendation to liquidate, made a poor recommendation to purchase an annuity with a high cost income rider, and misrepresented the risk of these investments; beginning in and around September of 2005.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Cutrer (Cutrer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Cutrer 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 $25,935.00  on April 01, 2020.

Client alleges financial advisor misrepresented the potential tax implications on the 2019 IRA distributions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Capra (Capra), currently associated with Quincy Wells Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Capra 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 $1,580,000.00  on April 01, 2020.

Clients allege unsuitable recommendations of GPB products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hillary Wertlieb (Wertlieb), currently associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wertlieb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

Breach of fiduciary duty, negligence, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Walsh (Walsh), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walsh 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 $17,001.00  on April 01, 2020.

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

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