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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adrian Holmes (Holmes), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $8,199.00 on October 13, 2022.

The customer alleged RR Holmes mispresented the terms and conditions of the fixed annuity he purchased in or around September 2017 using proceeds from liquidated mutual funds. Specifically, the customer did not understand that the fixed annuity policy was not liquid.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Barreira (Barreira), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreira 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 $175,000.00 on October 17, 2022.

Claimant alleges that the recommendation to purchase 2 variable annuities in July and August 2021 was not consistent with her need for current income and/or liquidity. Claimant requests compensatory damages in the amount of $175,000, plus interest, costs reimbursement of withdrawal penalties and commission disgorgement.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Shillin 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 $455,923.90 on October 13, 2022.

Six former clients of Shillin allege misrepresentations made by Shillin regarding the purchase of  SpaceX stock that, in fact, they never purchased. Claimants are seeking damages in the form of profits they allegedly would have earned if that purchase had been made by Shillin on their behalf.

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

FINRA BrokerCheck shows a pending customer complaint on December 01, 2022.

The client contends that registered rep did not clearly communicate the time horizon of the investment. Arbitration allegations are Negligence, breach of fiduciary duty, violation of California corporations code and financial elder abuse.

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

FINRA BrokerCheck shows a settled customer complaint on December 12, 2022.

Client alleges investment recommendations made by financial advisor from August 2020 to December 2022 were not in their best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryon Frisch (Frisch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 $150,395.00 on October 17, 2022.

The complainant alleges that in 2021, the representative had him move the funds from his two existing variable annuities into two new variable annuities, telling him that the new variable annuities offered the same GMIB benefits as his existing annuities. The complainant alleges that he has since learned that neither of his new AXA variable annuities have GMIB protection, which has caused him financial harm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kari March (March), previously associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that March 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 $200,000.00 on October 14, 2022.

Claimants alleged their assets were mishandled by misrepresenting the investments recommended and investing them in high risk and illiquid investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Ramirez (Ramirez), previously associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ramirez 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 $150,000.00 on October 18, 2022.

Ramirez was named in a customer complaint that asserted the following causes of action: violation of FINRA suitability rules; violation of FINRA Rule 2010; breach of fiduciary duties; material misrepresentations; violation of the California Elder Abuse and Dependent Adult Civil Protection Act; and violation of the California Business & Professional Code. In the Counterclaim, Respondent asserted the following cause of action: defamation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Shephard (Shephard), previously associated with First Command Financial Planning, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shephard 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 $90,000.00 on December 09, 2022.

Claimant alleges unsuitable investments, failure to act in the best interest of the claimant, misrepresentations and omissions, breach of fiduciary duty, breach of contract, failure to supervise, negligence, and violation of state and federal securities laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Kemp (Kemp), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 $23,500.00 on October 13, 2022.

Customer’s daughter alleged bond was unsuitable given the maturity date.

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