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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Hattaway (Hattaway), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Hattaway 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 $14,000.00 on May 11, 2020.

Client alleges that former FA’s failure to follow instructions led to large tax implication.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Burnias (Burnias), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Burnias 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 May 08, 2020.

Claimants allege the representative recommended they invest\<char_lb_r>\, in his outside business activity which was unsuitable for\<char_lb_r>\, their investment needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Mcglasson (Mcglasson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcglasson 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 $75,000.00 on May 08, 2020.

Claimant alleges losses in connection with his investments in two business development companies. Claimant alleges he was misled about the details of the investments and therefore, incurred damages as result of his purchases. Activity period – 11/2013 to 5/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kunal Vyas (Vyas), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vyas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

The client alleges that he was explicitly clear on March 10, 2020 that they wanted all of their investments out of the stock market, the transactions were not completed until March 26, 2020 and due to the delay, experienced lost account value as a result.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lee (Lee), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $12,722.00 on May 13, 2020.

Client alleges misrepresentation regarding mutual fund investment. Activity dates 11/04/2019-11/04/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schinsky (Schinsky), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schinsky 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 $280,000.00 on May 11, 2020.

The client alleged the advisor placed unauthorized trades in two of his qualified managed accounts on March 12, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hargis (Hargis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hargis 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 $6,783.00 on May 14, 2020.

Customer alleges failure to follow instruction to move to cash. Time period of claim: 11/6/2009 to 5/14/2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Rosario (Rosario), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosario 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 May 11, 2020.

Time frame: Unspecified Claimant alleges the recommendation to invest in and hold unsuitable concentration in Puerto Rico Closed-End Funds (CEFs) was misrepresented as safe and suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Baker (Baker), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 May 07, 2020.

Client alleges that recommendations regarding variable annuities were unsuitable and constituted poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lex (Lex), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lex 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 $110,000.00 on May 12, 2020.

The customer alleges alleges unsuitability, failure to follow instructions, and misrepresentation in connection with a Unit Investment Trust.

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