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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Onassis Burress (Burress), previously associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burress 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 $8,146.77 on January 06, 2022.

Registered Rep Onassis Burress recommended the client rollover her appx $50K retirement account into the GALIC Index Summit 6 annuity in November 2020. The annuity contract was signed December 31, 2020. The funds rolled over into the account on February 5, 2021 but remained in the sweep account and were never placed in the annuity as planned. Client requested compensation for the lost earnings that she would have received if the funds had been invested as instructed. First Citizens Investor Services settled this matter via Restorative Payment in the amount of $8146.77 on March 4, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Auricchio (Auricchio), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Auricchio 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 $75,000.00 on January 12, 2022.

Alleged violations of state and federal securities laws including alleged excessive and unsuitable trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcilvoy (Mcilvoy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mcilvoy 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 $14,332.82 on January 13, 2022.

The client alleges that the financial advisor sold shares of T and purchased shares of AZNAX on 11/23/2021 without his authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 10, 2022.

Claimants allege that Respondent failed to properly allocate and diversify their investment portfolio and that they were recommended unsuitable alternative investments including Carey Watermark/Watermark Lodging Trust REIT and FSEP.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Garner (Garner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $650,000.00 on January 11, 2022.

Omission/misrepresentation in connection with hold recommendation of Energy 11, Energy 12 and SOAEX.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Del Valle (Del Valle), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Valle 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 $1,000,000.00 on January 10, 2022.

Time frame: From 2013 through 2020. Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Gorsuch (Gorsuch), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorsuch 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 05, 2022.

Customer alleges a failure to follow an instruction to purchase mutual fund on July 1, 2019

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Previously financial advisor Bradley Goodbred (Goodbred), previously employed by brokerage firm LPL Financial 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 $1,613,981.30 on January 06, 2022.

Customer alleges that representative caused her to execute a document appointing representative as her power of attorney, and that representative allegedly induced customer to invest in a fraudulent, unregistered security. Activity period 2009 to 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra Mckoy (Mckoy), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckoy 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 11, 2022.

Client alleges investment was unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pardy (Pardy), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Pardy 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 $2,807,663.24 on January 12, 2022.

Failure to supervise

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