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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jawor (Jawor), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jawor 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 $58,000.00 on February 01, 2021.

Claimant alleges that purchases of two alternative investments for customer’s portfolio made 7 years ago were unsuitable. Activity period:  6/2013 to 2/2021.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,600,000.00 on January 26, 2021.

David Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action:  breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

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

FINRA BrokerCheck shows a settled customer complaint on January 28, 2021.

Claimants allege that the Financial Advisor assigned to their trust accounts churned and mismanaged their accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Callagy (Callagy), previously associated with Revere Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callagy 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 $180,000.00 on January 27, 2021.

March 2019 to December 2019. Client alleges poor performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Anderson (Anderson), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $114,000.00 on January 26, 2021.

Client claims that the Advisor kept him in unsuitable investments and strategies which were not appropriate to his investment objectives. The reported time frame for this incident is 01/2018 through 12/31/2020.

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

FINRA BrokerCheck shows a settled customer complaint on February 02, 2021.

During the period March 23, 2020 through June 26, 2020, the customer alleges that the Registered Representative initiated several unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Hill (Hill), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $500,000.00 on January 26, 2021.

Customers allege that the firm and financial advisor failed to perform adequate due diligence in connection with a 1031 exchange recommendation in 2015 that customers invest in a Delaware Statutory Trust.

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

FINRA BrokerCheck shows a settled customer complaint on January 29, 2021.

Customer asserts claims for breach of contract, fraud, breach of fiduciary duty, negligence, gross negligence, misrepresentation, unjust enrichment and violation of state securities and consumer protection statues in connection with his option investments. From 1/1/2013 to 12/31/2020.

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable transactions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Chiaro (Chiaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiaro 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 $171,000.00 on February 05, 2021.

Customer alleges that broker did not execute trades in customer’s account at the time he said he would, causing losses  activity period 1/1/2020 to 5/31/2020

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