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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Cockrum (Cockrum), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Cockrum 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 $12,973.00 on June 16, 2022.

The client alleges the financial advisor did not make him aware of any tax implications from moving funds from a 529 plan account to a joint account. The client alleges the financial advisor did not explain that the funds were being removed from the education accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerald Haerle (Haerle), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Haerle 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 $23,548.93 on June 14, 2022.

Client alleged the variable annuity product purchased in June 2022 was presented to her as an investment that would not lose value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Barancyk (Barancyk), previously associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Barancyk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 15, 2022.

Respondent Barancyk failed to respond to FINRA requests for information.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Del Rio (Del Rio) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Del Rio was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Del Rio’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on June 15, 2022.

Claimant alleges that during the approximate time period 2014-2018, representative engaged in selling away and that representative used client funds for his own personal benefit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Arteca (Arteca), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arteca 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 $78,780.00 on June 15, 2022.

Customer Alleges that the rep did not fully disclose surrender charges and all the facts regarding suitability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Escarcega (Escarcega), previously associated with Center Street Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Escarcega 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 $383,014.45 on June 13, 2022.

Beginning in 2012 client alleges that registered representative recommended an unsuitable investment and in 2019 recommended the client renew said investment.

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2022.

The client alleges the RR sold them an unsuitable REIT in 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Giegerich (Giegerich), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giegerich 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 $100,001.00 on June 14, 2022.

Claimant alleges financial adviser recommended investments that were unsuitable. Claimant generally alleges causes of action of suitability, misrepresentation, breach of contract, breach of fiduciary duty, and negligence.

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

FINRA BrokerCheck shows a settled customer complaint on June 14, 2022.

The customer alleges failure to follow instructions from February 2022 until April 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ren (Ren), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ren 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 June 21, 2022.

Customer alleges lack of suitability and insufficient product due diligence in regards to purchases in alternative investments.

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