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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Customer alleges representative made unsuitable investment recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $300,000.00 on January 08, 2024.

As per Signma’s filing, arbitration Statement of Claim alleged misrepresentation and negligence in connection with the investments purchased in 2014. Claimant further alleges the BD supervision of the claimant’s account was inadequate.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Schumann (Schumann), currently associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schumann 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 $300,000.00 on January 05, 2024.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frager (Frager), currently associated with Willow Cove Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frager 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 January 08, 2024.

Alleged unsuitable investment recommendation in November 2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Adams (Adams), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 $18,935.40 on January 12, 2024.

Client alleged Registered Representative’s liquidation of securities was inconsistent with her direction.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Taylor (Taylor), previously associated with Saxony Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Taylor 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 $426,000.00 on January 17, 2024.

Claimant asserts claims for breach of fiduciary duty, negligence, negligent supervision, breach of contract. Breach of covenant of good faith and fair dealing, misrepresentation, unauthorized trading, as well as violations of FINRA rules and state securities and elder abuse law. 08/2020 – 05/2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Martinez (Martinez), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 January 11, 2024.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lindemann (Lindemann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lindemann 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 January 17, 2024.

Failure to follow instructions / March 22, 2023 – December 26, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jana Thielges (Thielges), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thielges 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 $6,355.08 on January 12, 2024.

Client alleges the Financial Advisor did not exercise his stock election to trade shares of VMW for share of AVGO. Client alleges they should have received fifteen (15) shares stock plus an additional $8,522.88. Instead, the client alleges that all that was received was $16,815.00 and no stock, resulting in an estimated loss of $6,355.08.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Matteoni (Matteoni), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matteoni 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 $100,000.00 on January 11, 2024.

The Claimants allege that the financial professional sold them alternative investments that were unsuitable.

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