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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Starke (Starke), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Starke 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 $28,000.00 on February 05, 2025.

The customer alleges that the Registered Representative recommended unsuitable, illiquid investments. No specific dates for the alleged activity were identified in the customer’s complaint.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mccloskey (Mccloskey), previously associated with Westpark Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mccloskey 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 $200,000.00 on November 22, 2024.

Customers allege that their investment in GWG constituted material misrepresentations, a failure to conduct reasonable due diligence, a breach of fiduciary duty to act in the claimants’ best interest, unsuitable investments, failure to supervise, negligence and violation of state and federal securities laws.

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

FINRA BrokerCheck shows a pending customer complaint on November 25, 2024.

Client alleged, inter alia, that the investment strategy implemented in his accounts was not in his best interests  2015 – 2021

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Schleining (Schleining), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schleining 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 $1,580,000.00 on February 07, 2025.

Claimant, an experienced real estate investor, purchased a Delaware Statutory Trust in 2015 as part of a tax-advantaged 1031 exchange of Claimant’s prior real estate investment. The DST is still viable and performing according to the offering documents, but not to Claimant’s satisfaction. Accordingly, Claimant has made various allegations and legal claims related to unsuitability of the investments and inadequate due diligence. Allegations also include breach of fiduciary duty, negligence, misrepresentations/omissions, failure to supervise, and breach of contract.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Azary (Azary), currently associated with Finalis Securities LLC / Third Lake Associates, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Azary 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 $100,000.00 on October 03, 2024.

Claimant [REDACTED] has alleged the following in connection with his purchase of interestsin Strategic Energy Assets VIII Access Fund, LLC: (1) breach of contract; (2) generalnegligence; (3) breach of fiduciary duty; and (4) violation of California Corporations Code.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rappaport (Rappaport), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rappaport 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 $130,000.00 on October 22, 2024.

Customer specifically alleges that as CEO of WestPark Capital I failed to establish, implement, and maintain an adequate system\, of supervision over Wimsatt and Wimsatt’s supervisor. In addition the customer claims as CEO I am liable for negligent supervision at WestPark.

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Doran James (James), currently employed by J.w. Cole Financial, INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), James’s most recent customer complaint alleges that James recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $154,957.00 on December 04, 2024.

Claimants allege their financial professional could not sell their structured notes prior to maturity which caused themalleged damages. Time period: December 2022 – January 2023

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2024.

Arbitration: Claimant alleges that beginning in 2001, the advisory fees charged were misrepresented and excessive.\, Complaint: Client complains that the advisory fees charged have been higher than what she and the Financial Advisor agreed upon. (1/1/2003-6/7/2024)

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

FINRA BrokerCheck shows a settled customer complaint on February 12, 2025.

Customer alleges misrepresentation from January 2025 to February 2025.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Toetz (Toetz), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Toetz 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 $100,000.00 on January 23, 2025.

Failure to supervise Registered Representative who puyt customers in non exsiting Real Estate program

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