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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2024.

Client alleged that the investment strategy implemented in his accounts was not in his best interest 2014-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antoine Abi Nader (Abi Nader), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abi Nader 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 $500,000.00 on May 17, 2024.

Customer alleges that investment recommendation was unsuitable and misrepresented.

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

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.

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

FINRA BrokerCheck shows a settled customer complaint on May 20, 2024.

Customer alleges misrepresentation in January 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Funk (Funk), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Funk 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 $500,000.00 on May 15, 2024.

The situation involves a breach of trust in a currency trading program that promised to use trailing stop losses on all trades, as stated in their documentation and marketing materials. However, the trading algorithm was overridden, and the stop loss on one stock was moved, allowing losses to accumulate. When the trade was eventually closed, it resulted in a significant financial loss.

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

FINRA BrokerCheck shows a pending customer complaint on May 15, 2024.

Time frame:   Unspecified.\, Allegations: Claimant alleges the 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 Jaime Rullan (Rullan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rullan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 15, 2024.

The client alleges unsuitable investment strategy and misrepresentations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reed Smith (Smith), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, 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 pending customer complaint on May 21, 2024.

The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.

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

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2024.

Claim alleges, inter alia, that the short hedge investment strategy he utilized while his account was at Morgan Stanley was not in his best interests. 1998-2004

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