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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Blueweiss (Blueweiss), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blueweiss 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 July 24, 2023.

Client alleges unsuitable investment recommendations in 2021 – 2022.

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Previously financial advisor Patricia Pick (Pick), previously employed by brokerage firm Hightower Securities, 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 $200,000.00 on July 25, 2023.

Patricia Pick is involved with a FINRA arbitration claim brought by her former customer alleging certain sales practices violations, including customer suitability claims, negligence claims, breach of contract and fiduciary duty, and supervisory deficiencies relating to the customer’s investments in private placement products in October 2015 and January 2017 (while Ms. Pick was employed by the reporting firm).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Judson (Judson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Judson 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 $100,000.00 on July 21, 2023.

The claimants allege that recommendations of two products out of many investment recommendations were not in keeping with their investment needs and objectives.

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2023.

The client alleges financial advisor made misrepresentations and unsuitable investment recommendations in June 2020.

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2023.

CLAIMANT CLAIMS LOSS DUE TO MISREPRESENTATIONS AND UNSUITABLE INVESTMENT RECOMMENDATIONS

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Girish Navare (Navare), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navare 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 $100,000.00 on July 28, 2023.

Alleged breach of fiduciary duty and negligent management of individual positions and overall investment strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Derks (Derks), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Derks 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 $600,000.00 on July 28, 2023.

Unauthorized sale of stock.

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

The Personal Representative (“Executor”) of a deceased client alleged that, in 2015, certain features of rate-linked Certificate of Deposits (“CDs”) were not disclosed, and further alleges the CDs were not suitable for the purchasers.

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

Plaintiffs allege, among other things, that they were misled into purchasing variable annuities and insurance after liquidating mutual funds at a prior firm. They also allege that the recommended variable annuity purchased in April 2021 was inappropriate for their needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Carrizal (Carrizal), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrizal 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 $37,036.00 on July 26, 2023.

Client  alleges unsuitable investment recommendations. Activity dates January 2020 to February 2023.

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