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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan West (West), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that West 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 May 07, 2024.

Common Law Fraud, Breach of Fiduciary Duty, Failure to Supervise, Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Haverty (Haverty), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haverty 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 $750,000.00 on May 06, 2024.

Alleged overconcentration and unsuitability of international / emerging markets stock investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robbyn Gayer (Gayer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gayer 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 $20,230.42 on May 06, 2024.

Time Frame: April 23rd, 2024\, \, What were the allegations against the individual? The Trustee alleges that the commissions were not disclosed and were excessive considering the fact that they paid their fee in the fee based account prior.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Wurdemann (Wurdemann), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wurdemann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 03, 2024.

Wurdemann engaged in dishonest or unethical practices in the securities business. Wurdemann is the subject of an order of a self-regulatory organization expelling him from a self-regulatory organization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyson Allred (Allred), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allred 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 $1,529,600.00 on May 05, 2024.

Customers allege rep made specific assurances that the investments chosen for the customers protected principal and a guaranteed return of 3.25% after two years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Nagel (Nagel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nagel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $50,000.00 on May 06, 2024.

The customers allege unsuitable investment recommendations and misrepresentations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Johnston (Johnston), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 $225,000.00 on May 06, 2024.

Customers allege that investments made in or around 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hill (Hill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, 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 May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kasey Davis (Davis), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, 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 with a damage request of $50,000.00 on May 03, 2024.

The customers allege that the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached her fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Jacobs (Jacobs), currently associated with Lasalle St Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Jacobs 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 $217,478.00 on May 06, 2024.

Client alleges unsuitable recommendations in their account from July 2021 until May 2023

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