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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Caruso (Caruso), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caruso 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 $5,000.00 on December 21, 2023.

The client is alleging that the advisor did not inform her of the surrender charges associated with the contract, and he did not tell her she could lock in the value with the performance lock feature.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dery (Dery), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dery 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 $50,000.00 on December 23, 2023.

Client alleges misrepresentations and unsuitable investments from 2019 through March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $5,000,000.00 on December 22, 2023.

The claimants allege misrepresentation, omissions, and unsuitable investment recommendations in 2016 and 2017.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Ellison (Ellison), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ellison recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 21, 2023.

The clients allege that registered representative failed to act in their best interest from 2019 through 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Vanlohuizen (Vanlohuizen), previously associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Vanlohuizen 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 $100,001.00 on December 26, 2023.

Claimant alleges unsuitable investments and overconcentration within various managed accounts.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Boothe (Boothe), previously associated with International Assets Advisory, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Boothe  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $960,000.00 on December 21, 2023.

Fraud, excessive trading/commissions, unauthorized trading, breach of fiduciary duty, unsuitability, breach of contract, negligence, unjust enrichment 2014-2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Witthauer (Witthauer), currently associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Witthauer 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 $125,000.00 on December 28, 2023.

Client requested principal amount of three GWG L bonds totaling $125,000 to be returned to her for purchases made by her late husband in late 2020 & early 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Waisner (Waisner), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waisner 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 $5,000.00 on December 22, 2023.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patty Dawson (Dawson), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dawson 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 $1,000,001.00 on December 21, 2023.

Claimants allege violations of Michigan Uniform Securities Act of 2008, violation of California Corporate Securities Law, violation of Missouri Securities Act of 2003, violation of Michigan Consumer Protection Act, violation of California Consumer Legal Remedies Act, violation of Missouri Consumer Protection Act, breach of fiduciary duty, violation of Regulation Best Interest, violation of FINRA Rule 2111, violation of FINRA Rule 3110, negligence, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Thomas (Thomas), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 $50,000.00 on December 26, 2023.

Unsuitability of an underperforming (due to Covid pandemic impact on commercial office real estate) REIT is alleged

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