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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesus Quezada (Quezada), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Quezada 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 October 02, 2024.

CUSTOMER ALLEGES LACK OF SUITABILITY, FAILURE TO SUPERVISE & MISREPRESENTATION & OMISSION OF MATERIAL FACTS IN CONNECTION WITH INVESTMENTS IN ALTERNATIVE INVESTMENTS.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stone 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 $1,000,000.00 on October 02, 2024.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garrett Moretz (Moretz), currently associated with Lifemark Securities Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Moretz 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 $105,000.00 on October 03, 2024.

Allegations pertain to an investment in an alternative product intended to be a small component of a larger diversified portfolio. Investment was purchased in 01/2018. Unfortunately, the company that sold the investment has since filed Chapter 11 bankruptcy. Allegations include failure to perform due diligence, material misrepresentation, negligence, and an unsuitable recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashish Chowdhry (Chowdhry), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chowdhry 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 $1,000,000.00 on October 02, 2024.

The Plaintiffs allege that, beginning in 2022, the producer acted in concert with the Firm to induce the Plaintiffs into purchasing life insurance policies with death benefits exceeding seventeen million dollars by making misrepresentations regarding the risks and benefits of these policies and the associated premium financing. It is further alleged that this included the opening of an investment portfolio account to serve as collateral for the premium financing, and resulted in financial harm to the Plaintiffs.

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

FINRA BrokerCheck shows a pending customer complaint on October 02, 2024.

Time frame:     TBD\, \, Allegations: Claimants allege that the FA recommended unsuitable and speculative investments, including master limited partnerships in energy sector, when claimants were conservative investors.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Orcinolo (Orcinolo), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Orcinolo 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 $2,000,000.00 on October 03, 2024.

Claimant alleges, inter alia, that the Annuities Purchased for her were not in her Best Interests – 2014 to 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brendan Kelly (Kelly), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 $450,000.00 on October 02, 2024.

Customer alleges that between 2013 and 2018, representative recommended unsuitable investments in high risk and illiquid convertible notes and business development companies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricki Silverman (Silverman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Silverman 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 $2,000,000.00 on October 03, 2024.

Claimant alleges, inter alia, that the Annuities Purchased for her were not in her Best Interests – 2014 to 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Johns (Johns), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johns 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 $27,049.00 on October 03, 2024.

The client alleges failure to consider suitability

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

FINRA BrokerCheck shows a pending customer complaint on October 01, 2024.

The customer alleges that during the period 2012 through 2020, the Registered Representative failed to supervise and breached his fiduciary duty.

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