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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Smith (Smith), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $25,000.00 on December 30, 2020.

Claimants allege that their registered representative misrepresented and recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Taylor (Taylor), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $5,173,597.57 on December 30, 2020.

The Claimant alleges an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities in December of 2018. Claimant also alleges that she did not authorize the opening of the line of credit, as well as multiple wire transfers initiated by her then husband between 2017 and 2019. Additionally, Claimant alleges that her signature was forged by her former husband on opening documents for a loan management account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Vassar (Vassar), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vassar 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 $115,000.00 on December 29, 2020.

Boilerplate allegations include misrepresentation, negligence, unsuitability and breach of fiduciary duty from October 2015 through December 2020

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Previously financial advisor Norman Heyman (Heyman), previously employed by brokerage firm Sagepoint Financial, 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 settled customer complaint with a damage request of $80,000.00 on December 30, 2020.

Customer alleges a recommendation of a BDC investment was not suitable.

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

FINRA BrokerCheck shows a settled customer complaint on December 30, 2020.

Customer alleges he purchased a Variable Universal Life Insurance policy in December 2015 with the understanding that he would be covered for life without additional funding and there would be a guaranteed payout to his beneficiaries.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ariel Morales Reyes (Morales Reyes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Morales Reyes 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 $22,400.00 on January 08, 2021.

Time Frame: December 23, 2020 – January 4, 2021  \<char_lb_r>\, The client alleges his instructions to liquidate his security was not followed

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rashidah Billups (Billups), previously associated with Intervest International Equities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Billups 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 $5,500.00 on January 05, 2021.

Client alleges rr misrepresented policy at the time of sale in 12/2019. Client feels rr didn’t properly identify product as a life insurance policy, explain how the policy worked or disclose policy charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jefferson Campbell (Campbell), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $7,000.00 on January 11, 2021.

Clients allege that representative recommendations regarding retirement assets resulted in a $7,000 tax liability

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

FINRA BrokerCheck shows a settled customer complaint on January 07, 2021.

Time Frame: December 24, 2020 to January 7, 2021 \<char_lb_r>\, The client alleges his instructions to have his security sold was not followed. The alleged damages are estimated to be in excess of $5,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Stevens (Stevens), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $41,916.00 on January 11, 2021.

Claimant alleges over concentration, unsuitability and excess trading.

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