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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Maceachern (Maceachern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maceachern 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 $50,000.00 on February 13, 2024.

The customer alleges that in December of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment, and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Schmitz (Schmitz), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Schmitz 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 $130,000.00 on February 12, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Fredrickson (Fredrickson), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fredrickson 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 $499,999.00 on February 13, 2024.

The claimant alleges the investments he purchased in 2015 were unsuitable and was misrepresented to him. In addition the client alleges that the Firm and registered representative breached their fiduciary duties and that the Firm failed to supervise the representative.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that investments made in 2013-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Palacios Pazos (Palacios Pazos), previously associated with Efg Capital International, has at least one disclosable event. These events include one customer complaint, alleging that Palacios Pazos 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 $48,000.00 on February 20, 2024.

Customer claims that registered representative Carlos Palacios, recommended securities that were not aligned to his investment objectives.\, Customer claims that as a result he incurred losses totaling $48,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bindra 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 $31,860.00 on February 16, 2024.

Client alleges an unsuitable recommendation was made.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ross (Ross), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ross 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 $50,000.00 on February 16, 2024.

Claimant alleges the rr recommended an unsuitable oil & gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kuehn (Kuehn), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kuehn 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 $200,000.00 on February 16, 2024.

Claimant alleges their RR recommended unsuitable Oil and Gas investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Saied Zangenehpour (Zangenehpour), previously associated with Lincoln Financial Advisors Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zangenehpour 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 February 16, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment

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