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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Freeze (Freeze), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Freeze 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 $46,410.00 on July 21, 2020.

Client alleges advisor misrepresented the features of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Lopresti (Lopresti), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopresti 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 17, 2020.

Claimants allege fraud, negligence, breach of fiduciary duty, and breach of contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Walts (Walts), previously associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Walts 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 $10,596.00 on July 21, 2020.

During the fall of 2019 the client met the with representative for their review. Part of the review was a discussion surrounding the clients 403b loan amount. The representative made an erroneous recommendation to the client on how to pay off the loan which in turn created a tax liability for the client in 2020. The representative filed an E&O claim with both the BD’s policy and an additional active policy he had with his previous firm. Both E&O carriers have resolved the claim with the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Gonzalez (Gonzalez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $415,000.00 on July 20, 2020.

Claimant alleges the recommendation to invest and hold PR municipal bonds was unsuitable and that his account was over-concentrated in these investments. Claimant also alleges that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on July 17, 2020.

Attorney for estate alleged, inter alia, that new FA team did not prevent conversion of funds by POA from accounts of now deceased client- 2013 to 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elvira Makarevich (Makarevich), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Makarevich 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 $6,003.00 on July 22, 2020.

Customer alleged Variable Universal Life insurance contract purchased in April 2019 was unaffordable and should never have been issued to her.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Junko Nagai (Nagai), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagai 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 July 22, 2020.

Client alleges representative did not liquidate account as directed in December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Noto (Noto), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noto 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 $5,000,000.00 on July 24, 2020.

Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wilson (Wilson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 July 23, 2020.

In his written complaint letter dated July 23, 2020, the customer claims that David Wilson provided him with false information in order to induce him to purchase a variable annuity in 2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darin Arnell (Arnell), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnell 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 $237,494.00 on July 27, 2020.

Client alleges investments were not suitable. Client further alleges over-concentration in investment.

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