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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Stucky (Stucky), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stucky 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 $26,000.00 on October 25, 2023.

Customer alleges that from early 2022 to the present, the accounts have been improperly managed and invested in unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joanne Farace (Farace), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Farace 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 October 23, 2023.

Allegations:  unsuitability, misrepresentation/omission                        \, \, Allegation period: February 26, 2015 the date of the first purchase of the investments at issue to October 23, 2023 the date the SOC was received.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Julian (Julian), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Julian 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 $85,000.00 on October 26, 2023.

Failure to supervise, Unsuitable investments, Violation of federal and state securities laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Anderson (Anderson), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 October 26, 2023.

CUSTOMER ALLEGES THAT REIT INVESGTMENT WAS MISRERESENTED AS HAVING NO RISK. Activity period2016-2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Seidel (Seidel), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seidel 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 $35,000.00 on October 25, 2023.

Client alleges rep recommended risky, illiquid, complex, and concentrated alternative investments that were unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.

Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.

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

FINRA BrokerCheck shows a settled customer complaint on October 26, 2023.

Claimants allege negligence, failure to conduct reasonable basis suitability, and breach of fiduciary duty.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony Makransky (Makransky), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Makransky’s most recent customer complaint alleges that Makransky recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on October 23, 2023.

Claimants allege their advisor recommended an unsuitable variable annuity and misrepresented the costs and features of the annuity. They also allege their advisor recommended inappropriate equity indexed universal life insurance policies and structured notes.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Graham (Graham), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 October 24, 2023.

Misrepresentation; Negligence

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.

Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.

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