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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Bloemen (Bloemen), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bloemen 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 $20,000.00  on March 10, 2020.

The customer alleged that he instructed the representative to make trades which were not executed.

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Currently financial advisor Robert Warren (Warren), currently employed by brokerage firm Hightower Securities, 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 $200,000.00  on March 11, 2020.

Robert Warren is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around June 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melvin Payne (Payne), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Payne 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 $48,732.00  on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Provolt (Provolt), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Provolt 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 $75,962.00  on March 12, 2020.

Customer alleged that representative did not accurately represent the tax liabilities regarding the sales of certain securities.

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.

The client states that she provided account trade instructions to the representative on February 20, 2020 but due to a delay in trades being made, has experienced a loss in account value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Vieira (Vieira), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Vieira 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 $67,054.00  on March 10, 2020.

The customer alleged that the advisor failed to follow trade instructions with regard to settling 2 accounts to cash positions. Activity period:  1/8/20 through 4/9/20.

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.

The client alleges he was told trades to rebalance his account would be placed on March 9 and instead they executed on March 10, 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Strnad (Strnad), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Strnad 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 $37,314.43  on March 12, 2020.

The client alleges the financial advisor failed to disclose a\<char_lb_r>\, contingent deferred sales charge associated with the liquidation\<char_lb_r>\, of mutual funds in his account on 3/9/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Bileski (Bileski), currently associated with Revere Securities LLC / IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bileski 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 $1,025,551.00  on March 11, 2020.

Failure to Supervise. Dates of activity vary among Claimants, but total date range is June 2015 through December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Casellas (Casellas), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Casellas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.

The Customer alleges misrepresentation and unsuitable investment recommendations from 2012 until 2013.

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