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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Spellman (Spellman), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Spellman 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 $250,000.00 on October 18, 2023.

CLIENT IS ALLEGING TEXAS DECEPTIVE TRADE PRACTICES ACCOUNT AND CHAPTER 541 OF THE TEXAS INSURANCE CODE

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Stark (Stark), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stark 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 $15,468.67 on October 17, 2023.

Customers allege that in or around December 2022, the Representative misled them when he recommended that they roll over their retirement accounts to Northwestern Mutual brokerage and advisory accounts and sold non-variable whole life insurance policies as investments. Customers feel their accounts have underperformed compared to their previous accounts.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darcie Goins (Goins), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goins 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 $170,000.00 on October 18, 2023.

The claimant alleges that in 2015 the representative sold high-commission, complex, risky, illiquid alternative investments which were unsuitable and misrepresented to him. The client further alleges that the representative and Firm failed to conduct adequate due diligence.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Lucke (Lucke), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lucke 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 $15,200.00 on October 17, 2023.

Authorized party on the account alleges that the Financial Advisor stole/misappropriated by placing orders totaling $15,200.00 in the account to pay client bills without authorization and after the death of the account owner.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Robinson (Robinson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 October 11, 2023.

Claimant alleges representative made an unsuitable recommendation at his prior broker-dealer. Activity period 2014-May 2023.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Harless (Harless), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harless 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 $320,000.00 on October 20, 2023.

Authorized party complained that financial advisor recommended improper asset allocation for account owners’ age bracket, resulting in losses. (8/28/2020-9/4/2023)

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

FINRA BrokerCheck shows a pending customer complaint on October 16, 2023.

Client alleges that he purchased a variable annuity based on the Advisor’s misrepresentation of the annuity’s features and expected performance. Allegation period May 2013 to Present.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Ordway (Ordway), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ordway 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 $170,000.00 on October 18, 2023.

The claimant alleges that in 2015 the representative sold high-commission, complex, risky, illiquid alternative investments which were unsuitable and misrepresented to him. The client further alleges that the representative and Firm failed to conduct adequate due diligence.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Watne (Watne), currently associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watne 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 $9,950,000.00 on October 19, 2023.

This civil action stems from a dispute as to the ownership of an account at Frost Brokerage Services, Inc. (‘FBS’) (the ‘Account’). FBS placed a hold on the Account after conflicting claims of ownership were raised. The lawsuit was originally filed on March 16, 2023, by one of the purported owners of the Account (‘Purported Owner 1’), seeking declaratory relief as to Account’s proper ownership. The complaint was subsequently amended, alleging claims of conversion and theft by the other purported owners of the Account (‘Purported Owner 2’), as well as claims against FBS for wrongfully freezing the account and conspiring with the other defendants to accomplish their alleged conversion/theft. On October 19, 2023, Purported Owner 2 filed its own complaint, making similar allegations of theft against the Purported Owner 1 (the ‘October Complaint’). The October Complaint also alleges that FBS and other Frost-affiliated parties aided and abetted the alleged theft and fraudulent acts of Purported Owner 1, and that FBS employee Nicholas Watne made misrepresentations that contributed to the alleged aiding and abetting.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ledford (Ledford), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ledford 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 $500,000.00 on October 19, 2023.

Monetary damages related to certain alleged actions or inactions related to the purchase of speculative debt instruments.

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