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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Forbush (Forbush), currently associated with Larson Financial Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forbush 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 $7,374,258.61 on December 27, 2023.

From 2016 to 2023, the Customers implemented various insurance policies and invested in a limited partnership pursuant to the Registered Representative’s advice. Customer alleges negligence, unsuitability, legal malpractice and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Singer (Singer), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Singer 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 $25,000.00 on December 21, 2023.

As stated by Transamerica Financial Advisors, Inc., clients allege funds were mishandled by over concentrating them in an illiquid, high commission product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Forschner (Forschner), previously associated with Maxim Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forschner 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 $2,000,000.00 on December 21, 2023.

Claimant alleges that from December 13, 2012 through December 9, 2019, Mr. Forschner engaged in violations of Michigan Uniform Securities Act,  misrepresentation and omission of material facts, use of manipulative or deceptive sales tactics, failure to supervise. Breach of fiduciary duty and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Torres (Torres), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Torres 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 $50,000.00 on December 22, 2023.

Complainant alleges misstated account profile information and misrepresentation of certain features of the product during sales process on or around February 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Simmonds (Simmonds), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Simmonds 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 $43,375.15 on December 20, 2023.

Customer verbally complained that he was promised a reduction in management fee when his accounts reached a specified balance, but the fee was not reduced. (12/1/2020-12/20/2023)

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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2023.

Claimant alleges REIT purchased was unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mandarino (Mandarino), currently associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Mandarino 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 December 21, 2023.

Client, through legal representation, claimed $100,000 in damages resulting from the purchase of several GWG L bonds which resulted in a total loss of principal.

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

FINRA BrokerCheck shows a settled customer complaint on December 26, 2023.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.   Reg BI is drawn from fiduciary principles that include an obligation to act in the retail investor’s best interest and the broker is prohibited from placing their own interests ahead of the investor’s interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Caruso (Caruso), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caruso 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 December 21, 2023.

The client is alleging that the advisor did not inform her of the surrender charges associated with the contract, and he did not tell her she could lock in the value with the performance lock feature.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dery (Dery), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dery 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 $50,000.00 on December 23, 2023.

Client alleges misrepresentations and unsuitable investments from 2019 through March 2020.

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