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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Junko Nagai (Nagai), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nagai 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 $10,000.00  on July 22, 2020.

Client alleges representative did not liquidate account as directed in December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melinda Mccullough (Mccullough), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mccullough recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

The the clients allege the investments purchased between 2014-2015 were unsuitable and misrepresented by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to preform adequate due diligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Noto (Noto), previously associated with First Standard Financial Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Noto 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 $5,000,000.00  on July 24, 2020.

Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wilson (Wilson), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wilson 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 July 23, 2020.

In his written complaint letter dated July 23, 2020, the customer claims that David Wilson provided him with false information in order to induce him to purchase a variable annuity in 2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darin Arnell (Arnell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arnell 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 $237,494.00  on July 27, 2020.

Client alleges investments were not suitable. Client further alleges over-concentration in investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Stetter (Stetter), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stetter 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 $170,000.00  on July 27, 2020.

Client alleges advisor mismanaged accounts by providing unsuitable investment advice and misrepresenting investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diane Hutchings (Hutchings), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hutchings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 22, 2020.

Customer alleges that in April 2013 through February 2014 representative made investment recommendations in non-traded real estate investment trusts and other high risk investments unsuitable for claimant’s investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominick Greco (Greco), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Greco 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 $100,000.00  on July 22, 2020.

Claimant alleges that she desired to purchase safe investments, but instead was placed in Northstar Real Estate Investment II and FS Investment Corp. Claimant contends that those investments were unsuitable and that she suffered losses “approaching $100,000” because the value of the subject investments allegedly had declined. Activity period 1/2015 – 7/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Palumbos (Palumbos), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Palumbos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 26, 2020.

The clients allege the RR provided a poor recommendation in regard to surrendering four annuities in May of 2019, as the resulting tax impact was greater than expected.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bart Bohrer (Bohrer), currently associated with Calton & Associates, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Bohrer 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 $489,681.94  on July 27, 2020.

Clients allege Breach of Fiduciary Duties, violations of Georgia Uniform Securities Act, Breach of Contract, Negligence date range is from 05/2013 – 06/2017

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