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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2021.

The complainant alleges that the REIT that was sold to him beginning in or around 2014 was unsuitable for his conservative portfolio and he wasn’t advised that there could be a loss of principal.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rikin Jobanputra (Jobanputra), currently associated with Joseph Gunnar & CO. LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jobanputra 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 March 09, 2021.

Client alleges unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Lopresti (Lopresti), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopresti 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 $142,985.17 on March 12, 2021.

Client alleges the RR recommended and purchased unsuitable investments related to five listed equity securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Lyon (Lyon), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyon 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 March 12, 2021.

Ms. [REDACTED] contends around 02/17/2021 CMIA purchased illiquid investments that carried a risk of loss of significant principal and that this fact was concealed from her. Plaintiff contends I failed to comply with my obligations to oversee her account.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on March 12, 2021.

Time Frame: February 3, 2020 to April 10, 2020 The client alleges the portfolio was too aggressive. The client further alleges he was issued a loan guaranteed by our portfolio without informing us as to what amount would be taken.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodrigo Sideris (Sideris), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sideris 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 $1,457,700.00 on March 12, 2021.

Claimant alleged, inter alia, misrepresentation with respect to recommendation to utilize Liquidity Access Line to borrow funds and assurance that earnings generated from the holdings in his brokerage account would cover the interest payments on the Line.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Connors (Connors), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Connors 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 $120,000.00 on March 09, 2021.

From 2020 through 2021, Client alleges that Mr. Connors failed to disclose moving funds from an IRA DBA to a non-qualified variable annuity would trigger a taxable event.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Iguina Hernandez (Iguina Hernandez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Iguina Hernandez 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 $350,000.00 on March 11, 2021.

Client allege investments were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander De Oliveira (De Oliveira), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that De Oliveira 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 $1,457,700.00 on March 12, 2021.

Claimant alleged, inter alia, misrepresentation with respect to recommendation to utilize Liquidity Access Line to borrow funds and assurance that earnings generated from the holdings in his brokerage account would cover the interest payments on the Line.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Gerds (Gerds), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gerds 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 $150,000.00 on March 09, 2021.

Customer alleged unauthorized sale of stock to purchase fixed annuity and unjustified advisory fees charged with limited trading in managed accounts.

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