Articles Tagged with Integrity Alliance

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tolbert 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 $113,000.00 on February 18, 2026.

Customer alleges the Representative recommended the purchase of unsuitable, risky, illiquid, and complex unsecured debt securities through Representative's Registered Investment Adviser (RIA).

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2020.

Customer has alleged representative misrepresented the variable annuity sold to him in September 2019, which replaced his previous variable annuity by indicating the new variable annuity would provide greater guaranteed income for the customer.

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Currently financial advisor Michael Lucia (Lucia), currently employed by brokerage firm Integrity Alliance, LLC. 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 settled customer complaint with a damage request of $5,000.00 on July 06, 2020.

Claimant alleges unsuitable recommendations of REITs and BDCs. Date of Activity:8/23/15 to 6/17/20

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Bunger (Bunger), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Bunger 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Baer (Baer), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Baer 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Husserl (Husserl), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Husserl 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 $38,000.00 on January 16, 2026.

‘Customer allegations concerning mismanagement of customer’s investment advisory account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Maguire (Maguire), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maguire 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 December 09, 2020.

Claimant alleges Maguire misrepresented the timing of exit from VUL positions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 April 01, 2025.

Claimants alleges various claims claims against the firm and the registered representative in connection with the recommendation of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shonsey (Shonsey), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Shonsey 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 February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Martin (Martin), currently associated with Integrity Alliance, Llc., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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.

Insurance agent sold client [redacted] a fixed annuity with colorado banker life. Colorado bankers life became insolvent. Agent is named in civil litigation filed by the client in the state of pennsylvania

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