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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Davis (Davis), previously associated with Allstate Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 28, 2020.

Customer alleges she told the RR that she needed to remain in the money market for liquidity. The RR recommended the customer invest in a UIT and when she needed to withdraw funds, she had to liquidate the holdings and uncured a loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Farrukh Kazmi (Kazmi), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kazmi 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 $350,000.00  on July 24, 2020.

The clients allege the investments they purchased between 2013-2014 were unsuitable and misrepresented to them by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Davenport (Davenport), previously associated with Girard Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davenport 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 July 23, 2020.

Customer alleged that the investment adviser did not disclose that the investments at issue here could not be liquidated.

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

FINRA BrokerCheck shows a settled customer complaint on July 23, 2020.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Harding (Harding), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harding 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 $60,000.00  on July 22, 2020.

Mr. Harding failed to execute a sell order that resulted in  loses to a Client account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Long (Long), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Long 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 $33,000.00  on July 28, 2020.

Client is concerned regarding investment performance, cost, and lack of liquidity regarding investments purchased in 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hill (Hill), previously associated with Blackstone Advisory Partners L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 29, 2020.

The lawsuit concerns Kentucky Retirement Systems’ investment in a Blackstone-managed fund and alleges a variety of state law claims.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Haberek (Haberek), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Haberek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Client verbally complained that the financial advisor recommended inappropriate investments. (3/6/2017-7/27/2020).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bell (Bell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bell 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 $237,494.00  on July 27, 2020.

Client alleges investments were not suitable. Client further alleges over-concentration in investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Holcomb (Holcomb), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Holcomb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Attorney verbally demanded repayment of personal loan made by customer to Financial Advisor. (2/13/2013-7/27/2020)

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