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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Garner (Garner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $650,000.00 on January 11, 2022.

Omission/misrepresentation in connection with hold recommendation of Energy 11, Energy 12 and SOAEX.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Warshaw (Warshaw), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Warshaw 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 $68,221.00 on January 17, 2022.

The trustee alleges unauthorized distributions occurred from the trust without her permission.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Airung Liu (Liu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 January 14, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was not suitable for the Claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Ingram (Ingram), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ingram 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Del Valle (Del Valle), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Valle 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 $1,000,000.00 on January 10, 2022.

Time frame: From 2013 through 2020. Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra Mckoy (Mckoy), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckoy 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 January 11, 2022.

Client alleges investment was unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pardy (Pardy), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Pardy 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 $2,807,663.24 on January 12, 2022.

Failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Donovan (Donovan), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan 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 $81,374.00 on January 13, 2022.

The customer alleged that he would not have transferred his funds to the Northwestern Mutual Investment Services advisory account if he would have been made aware of the tax consequences of the transaction.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Seifert (Seifert), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seifert 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 $57,335.00 on January 12, 2022.

The client alleges the RR failed to follow instructions in moving a qualified retirement plan to an IRA. This cost the client $57,335 in IRS and state tax penalties.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Skaar (Skaar), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Skaar 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 $2,120,734.40 on January 14, 2022.

Claimant alleges FP provided incorrect tax advice regarding stepping up the basis of securities held in an irrevocable trust.

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