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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

The client alleges the investments he purchased between 2014-2016 were illiquid and not suitable for him. In addition, the client alleges that the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Jr. Canuso (Canuso), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Canuso 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 July 16, 2020.

Claimant alleges unsuitability in connection with one alternative investment purchase made seven years ago, and requests rescission and other compensatory damages. Activity period:  5/2013 – 6/2020

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2020.

Alleged breach of fiduciary duties by over-concentrating in the energy sector.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Dibrino (Dibrino), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dibrino 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 $125,000.00  on July 15, 2020.

Claimants allege their former representatives recommended alternative investments that were not suitable for them. Claimants generally allege misrepresentation, unsuitable recommendations, breach fiduciary duty, failure to supervise, breach of contract and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juergen Weber (Weber), previously associated with Benjamin & Jerold Brokerage I, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Weber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $150,000.00  on July 06, 2020.

Weber was named in a customer complaint that asserted the following causes of action: violation of FINRA suitability rules; violation of FINRA Rule 2010; breach of fiduciary duty; and violation of California Elder Abuse and Dependent Adult Civil Protection Act.

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

The clients allege the investments purchased between 2003-2015 were illiquid and not suitable for them. In addition, the clients allege the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Calandra (Calandra), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Calandra 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 $40,000.00  on July 17, 2020.

Unsuitable investment recommendation is alleged

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Payam Taghibagi (Taghibagi), currently associated with Signature Estate Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Taghibagi 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 $5,000.00  on July 07, 2020.

Customer alleges that Representative recommended unsuitable investments resulting in losses.

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

Client alleges advisor recommended unsuitable investments. Allegation Activity Dates: 2011 – 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Steves (Steves), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Steves 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 $50,000.00  on July 15, 2020.

Claimant alleges that Mr. Steve’s failed to move one hundred percent of his portfolio to cash.

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