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Currently financial advisor Robert Crothers (Crothers), currently employed by brokerage firm Osaic Wealth, INC. 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 pending customer complaint with a damage request of $5,000.00 on July 19, 2024.

Recommended or purported “high risk private placement” is alleged to be unsyitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene Griffin (Griffin), currently associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Griffin 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 $71,000.00 on July 20, 2024.

Customer made an unsolicited purchase of PTON stock. Customer alleges that he also requested a stop loss to be put in place at the time of that transaction, however that stop-loss transaction was never placed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler 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 $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jerome Messana (Messana), currently associated with Aegis Capital Corp., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Messana concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on July 19, 2024.

From approximately 1/2009 – 10/2021 customer claims suitability, churning, unauthorized trading, failure to supervise, fraud & misrepresentation (Violations of Securities Law), unjust enrichment, lost opportunity damages, punitive damages and unsuitable use of margin. Note that the customer does not specify any trade dates or products so the dates the account was opened was provided along with the general type of securities purchased and sold.

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

FINRA BrokerCheck shows a settled customer complaint on July 24, 2024.

Client alleges Mckinzie Valverdy failed to follow instructions in July 2023 related to the purchase of two positions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dauphinee (Dauphinee), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Dauphinee 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 July 25, 2024.

Claim states Agent recommended an investment strategy that was not in Claimants best interest.

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Currently financial advisor Shaw Elashmawy (Elashmawy), currently employed by brokerage firm Maxim Group 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 pending customer complaint with a damage request of $300,000.00 on July 23, 2024.

The statement of claim brought on behalf of six separate claimants alleges unsuitable recommendations, misrepresentation and breach of fiduciary duty in connection with the purchase of a private placement. Mr Elashmawy was not the registered representative for each of the six separate claimants. The statement of claim alleges over $300,000 in compensatory damages.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Johnson (Johnson), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $98,364.14 on July 25, 2024.

A representative at the firm supervised by Shane Johnson provided incorrect illustrations to the clients at the time of sale in September 2023 resulting in distributions that were lower than intended. The error was discovered by the firm and disclosed to the client and it was handled through errors and omissions insurance and the clients were made whole. The resulting release agreement named Shane Johnson as allegedly providing incorrect illustrations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Saterfiel (Saterfiel), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saterfiel 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 $79,951.00 on July 22, 2024.

Customer Alleges Financial professional Misrepresented the implications of exchanging a life insurance policy for a variable annuity in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Bogner (Bogner), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bogner 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 $210,000.00 on July 25, 2024.

Claimants allege they were recommended unsuitable investments.

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