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

FINRA BrokerCheck shows a pending customer complaint on April 05, 2024.

Time frame: 2012- 2023 Allegations: Claimants allege that their Financial Advisor recommended for purchase a Senior Life Settlement Portfolio that was neither an approved investment sold through UBS nor suitable for the clients.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nelson (Nelson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $900,000.00 on April 08, 2024.

Customer’s estate alleged that representative should not have effected certain transfers and sales of assets authorized pursuant to a power of attorney granted by customer and subsequently pursuant to instructions from the trustee of customer’s trust. The activities took place between September 2022 and January 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Lekousis (Lekousis), currently associated with Oneamerica Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lekousis 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 $10,050.00 on April 11, 2024.

Customer alleges that the rep advised her that she could reduce the monthly premium payment which caused the policy to go into default.

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Currently financial advisor Brian Dreier (Dreier), currently employed by brokerage firm Cambridge Investment Research, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $268,000.00 on April 08, 2024.

Claimants allege representative was negligent in recommending that clients should use illiquid REITs for their retirement portfolio. Claimants also allege that representative misrepresented that the investments were safe.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theresa Allen (Allen), currently associated with RBC Capital Markets, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Allen 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 $1,750,000.00 on April 11, 2024.

Claimant Alleges unsuitable investment recommendations and unauthorized trading. Activity Dates 11/2019 through 07/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Leisman (Leisman), currently associated with Moloney Securities Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leisman 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 $300,000.00 on April 11, 2024.

Negligence/suitability. 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teddy Ezzell (Ezzell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ezzell 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 April 08, 2024.

Breach of fiduciary duty; unsuitable recommendations; misrepresentation and failure to supervise by the firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Elias (Elias), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 $80,000.00 on April 14, 2024.

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

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Micera (Micera), currently employed by RBC Capital Markets, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Micera’s most recent customer complaint alleges that Micera recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,275,000.00 on April 09, 2024.

Alleged unsuitability related mainly to the clients’ investment in ‘high risk, illiquid, high commission/fee structured’ notes.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Valido (Valido), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valido 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 $100,000.00 on April 16, 2024.

Investment was unsuitable in light of claimant’s desire for safety and principal preservation.

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