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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristin Pennock Jackson (Pennock Jackson), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennock Jackson 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 $45,000.00 on December 02, 2020.

Customer Alleges the rep did not fully disclose all the facts regarding the replacement of her policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beau Sheedy (Sheedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheedy 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 $18,484.18 on November 30, 2020.

Client alleges RR misrepresented an unsuitable variable annuity in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alison Stine (Stine), currently associated with Gwn Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stine 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 $18,484.18 on November 30, 2020.

Client alleges RR forged the signature of another RR on account opening documentation, and misrepresented an unsuitable variable annuity sold in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bass (Bass), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bass 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 $200,000.00 on December 02, 2020.

Customer alleged the RR provided incorrect information related to a defined benefit plan, which resulted in the plan incurring tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megan Clark (Clark), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $23,561.86 on December 01, 2020.

Breach of fiduciary duty, unsuitable recommendations, failure to supervise

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2020.

Client alleges the advisor made an unauthorized trade in his taxable account causing him tax consequences. The activity occurred on December 7, 2020.

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Currently financial advisor Ethan Collins (Collins), 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 $50,000.00 on December 02, 2020.

Ethan Collins is not a respondent in this arbitration. He is identified as a relevant non-party in 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 March of 2017.

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

FINRA BrokerCheck shows a settled customer complaint on November 30, 2020.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Jameson (Jameson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jameson 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 December 03, 2020.

Client alleged that advisor did not implement dollar cost averaging strategy in discretionary account per client’s instruction provided in May 2020

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Currently financial advisor William Faivus (Faivus), currently employed by brokerage firm World Equity Group, INC. 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 $150,000.00 on December 02, 2020.

Alleging unsuitable transactions in re: the purchase of certain REITs between November 2013 and June 2014

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