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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sotiraq Qirjollari (Qirjollari), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Qirjollari 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 $72,577.00 on February 12, 2024.

Customer alleges representative recommended an unsuitable portfolio of investments during the time period March 2017 to March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gavin Langley (Langley), currently associated with Saxony Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Langley 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 $25,000.00 on February 12, 2024.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. No Statement of Claim filed by client or opposing counsel.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Weeks (Weeks), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weeks 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 $800,000.00 on February 14, 2024.

Claimant alleges breach of fiduciary duty, negligence, and violations of the Kansas Securities Act for options trading from June 2018 through June 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Meran (Meran), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Meran 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 $10,000.00 on February 13, 2024.

Claimant alleged that her Financial Advisor (FA), during an unspecified period of time while at Wells Fargo, made unsuitable investment recommendations inconsistent with her investment needs and objectives.\, Claimants also alleged that continuing to hold those positions while at Morgan Stanley was unsuitable – 2022 to 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Kirkham (Kirkham), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkham 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 $9,000,000.00 on February 14, 2024.

The client alleges in January 2018 the representative’s recommendation of using Portfolio Margin and changes to client’s trading strategies were unsuitable and mispresented material risks.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Raffer (Raffer), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raffer 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 $30,000.00 on February 12, 2024.

Client alleged damages resulting from the liquidation of a portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Floberg (Floberg), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Floberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Client alleges that representative failed to follow instructions from 11/16/2023-02/08/2024.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customers allege that investments made in 2013 were unsuitable for the customers’ investment objectives and risk tolerances.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Rottman (Rottman), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Rottman 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 $130,000.00 on February 12, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Fabregas (Fabregas), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fabregas 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 $15,000.00 on February 14, 2024.

Customer alleged the advisor solicited a $15,000 undisclosed personal loan which he failed to pay back.

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