Articles Tagged with Ausdal Financial Partners

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hurckes (Hurckes), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurckes 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 $150,000.00 on March 25, 2024.

Violation of Federal Securities Laws,  Violation of IL Consumer Fraud and Deceptive Business Practices Act, Violation of IL Securities Law, Breach of Contract,  Common Law Fraud,  Breach of Fiduciary Duty,  Negligence and Gross Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $220,000.00 on October 10, 2024.

Breach of fiduciary duty, negligence, breach of contract, negligent supervision, violation of applicable laws and industry rules; unsuitable recommendation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Lee (Lee), previously associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lee 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 $102,000.00 on April 01, 2024.

Suitability/negligence. 2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Birkinbine (Birkinbine), currently associated with Ausdal Financial Partners, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Birkinbine 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 01, 2024.

Allegations include Suitability, Due Diligence, Violation of Reg BI and over concentration of Alternative Investments purchases between 2013 and 2017, and small additional investments in a UIT in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Mcgill (Mcgill), currently associated with Ausdal Financial Partners, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mcgill 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 $57,000.00 on June 12, 2024.

Claimant took issues with losses incurred on a 25000 gwg l bond and on certain equity based investments in a separate account between jan 2021 and June 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Devita (Devita), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Devita 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 $25,000.00 on June 17, 2024.

Violation of il securities law; violation of regulation best interest; breach of fiduciary duty; negligence and negligent supervision

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hoye (Hoye), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoye 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 $280,000.00 on July 02, 2024.

Violation of federal securities laws; violation of il consumber fraud and deceptive business practices act; violation of il securities law; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., 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 with a damage request of $3,870,000.00 on February 13, 2025.

Breach of Fiduciary Duty, Negligence and Reg BI, Failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Wolfe (Wolfe), currently associated with Ausdal Financial Partners, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wolfe 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 $400,000.00  on November 19, 2024.

Customer alleges Violation of Federal Securities laws; Violation of IL consmer fraud and deceptive business practices act; Violation of IL securities laws; Breach of contract; Common law fraud; Breach of fiduciary duty; Negligence and Gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilfredo Miranda (Miranda), currently associated with Ausdal Financial Partners, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miranda 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 $155,000.00  on October 25, 2024.

Breach of fiduciary duty; suitability; misrepresentation of investment; failure to supervise; breach of contract; regulation bi

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