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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenyon Knight (Knight), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knight 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 $7,507.26 on November 21, 2023.

The customer alleges unauthorized trading. Activity dates 10.18.23 – 10.18.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mittica (Mittica), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mittica 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 November 24, 2023.

Client (and wife) allege they wanted CD’s purchased and Financial Advisor purchased bond funds.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzanne Charrin (Charrin), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Charrin 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 $112,600.00 on November 21, 2023.

Claimants allege misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lefever (Lefever), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lefever 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 $40,000.00 on November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Meyers (Meyers), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 $68,000.00 on November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Glovna (Glovna), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glovna recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

The client alleges a loss of accrued interest on CDs purchased in the managed asset account in May 2023.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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