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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Sain (Sain), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sain 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 $750,000.00 on July 12, 2023.

Claimants alleges, inter alia, That the investments strategy executed in their account was unsuitable -2022- 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Clarke (Clarke), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clarke 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 $6,300,000.00 on July 11, 2023.

Client alleges that recommendations were too risky.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drabek (Drabek), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Drabek 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 $200,000.00 on July 07, 2023.

Ms. [REDACTED] alleges that on 3/15/2016 and on 12/1/2016, Mr. Drabek made unsuitable recommendations to her and her husband to invest in Griffin Realty Trust and CIM Real Estate Finance Trust respectively.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Clark (Clark), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 July 07, 2023.

The client alleged the financial professional’s lack of due diligence resulted in an unauthorized distribution from his account to a third party without his knowledge or consent.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Stiba (Stiba), currently associated with Lion Street Financial, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stiba 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 $200,000.00 on July 10, 2023.

Alternative investment, client alleges alternative investment was an inappropriate recommendation for novice unsophisticated investors

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Knutson (Knutson), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Knutson  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $44,015,038.00 on July 11, 2023.

Claimants allege, inter alia, Excessive trading with respect to investments – 2013 to 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yoon Lee (Lee), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $19,606.66 on July 13, 2023.

The customers allege they did not electronically sign fixed annuity applications in December 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brendan Lowry (Lowry), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowry 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 $14,791.97 on July 13, 2023.

Customer alleges unauthorized wire transfer from account in June 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Velez (Velez), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Velez 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 $32,000.00 on July 13, 2023.

Customer alleged the Representative misrepresented a variable universal life insurance policy as an investment and alleged the policy was not suitable for the customer because of the premium obligations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Wagstaff (Wagstaff), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagstaff 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 $184,000.00 on July 12, 2023.

Customer alleged that the representative made an unsuitable recommendation to transfer an annuity that caused a tax event.

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