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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2022.

CLAIMANT ALLEGES UNAUTHORIZED TRANSACTIONS REGARDING TWO CORPORATE BONDS WHICH RESULTED THE BONDS BEING LIQUIDATED AND THE PROCEEDS BEING TRANSFERRED TO AN UNKNOWN ACCOUNT.

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

FINRA BrokerCheck shows a final customer complaint on June 06, 2022.

Claimant alleges his mother took inappropriate withdrawals from a custodial account held for Claimant’s benefit. Claimant’s mother filed a third party complaint alleging that to the extent the withdrawals were inappropriate and the Firm approved the withdrawals.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Arnall (Arnall), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arnall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Breach of fiduciary duty, suitability, misrepresentation, omitted information, violated FINRA Rules 2010, IM-2310-2 and 2020, fraudulent inducement, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chandler Altman (Altman), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altman 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 $85,000.00 on June 16, 2022.

Through his attorney, the customer alleges that the Financial Advisor modified his qualified retirement accounts into non-qualified accounts, which resulted in unforeseen tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Simons (Simons), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons 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 $40,246.92 on June 13, 2022.

Client alleged the fixed immediate annuity purchased in May 2021 was not his best option.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Cockrum (Cockrum), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Cockrum 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 $12,973.00 on June 16, 2022.

The client alleges the financial advisor did not make him aware of any tax implications from moving funds from a 529 plan account to a joint account. The client alleges the financial advisor did not explain that the funds were being removed from the education accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerald Haerle (Haerle), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Haerle 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 $23,548.93 on June 14, 2022.

Client alleged the variable annuity product purchased in June 2022 was presented to her as an investment that would not lose value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Barancyk (Barancyk), previously associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Barancyk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 15, 2022.

Respondent Barancyk failed to respond to FINRA requests for information.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Del Rio (Del Rio) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Del Rio was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Del Rio’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on June 15, 2022.

Claimant alleges that during the approximate time period 2014-2018, representative engaged in selling away and that representative used client funds for his own personal benefit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Arteca (Arteca), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arteca 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 $78,780.00 on June 15, 2022.

Customer Alleges that the rep did not fully disclose surrender charges and all the facts regarding suitability.

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