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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anibal Drelichman (Drelichman), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Drelichman 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 $115,680.00 on November 09, 2024.

The client alleged she was charged fees (i.e., commissions) that were not disclosed to her in 2024. On December 8, 2024, the client submitted further allegations that unauthorized trading had taken place in her account in January 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Lawrence (Lawrence), previously associated with American Portfolios Financial Services, Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Lawrence 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 $9,810.56 on November 19, 2024.

Customer alleges financial professional forged signatures to purchase a variable annuity in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Drouin (Drouin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Drouin 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 $20,001.75 on November 22, 2024.

The client alleged that requested allocation updates to three (3) of his advisory accounts were not completed when requested on February 22, 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Hanifan (Hanifan), currently associated with USA Financial Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Hanifan 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 $50,000.00 on December 11, 2024.

Gerald Hanifan has been named in FINRA Dispute Resolution Services Arbitration Number 24-02603. The complainants are alleging that Mr. Hanifan placed them in unsuitable investments, by failing to explain the investments in great enough detail.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Woods (Woods), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 December 31, 2024.

The claim alleges unsuitability, breach of fiduciary duty, negligence, negligent hiring, and breach of contract based on investments made in 2017.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Winthrop (Winthrop), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Winthrop 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 $5,000.00 on December 04, 2024.

Customer alleges unsuitable investments and violation of Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2024.

Claimant alleges advisor recommended unsuitable investment of a fixed annuity

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

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

Customer alleges misrepresentation and failure to act in their best interest in October 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Alfaro (Alfaro), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfaro 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 $5,000.00 on November 26, 2024.

Customer alleges the RR did not disclose surrender fees when customer purchased the annuity in 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colleen Bracy (Bracy), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bracy 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 $7,200.00 on November 06, 2024.

The client alleges the financial advisor did not advise client on the transfer limitations of 529 plan accounts.

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