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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2024.

The policyowner alleges that the RR did not adequately inform her of the surrender charges and other fees associated with her variable annuity purchased in September 2021. The policyowner requested to surrender the variable annuity without the imposition of surrender charges and for the Firm to consider compensating her for the loss of the potential value of her investment.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mostero (Mostero), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mostero 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 $350,000.00 on April 23, 2024.

Claimant alleges that their former representative engaged in an inappropriate relationship with Claimant, failed to protect her from poor financial decisions, and breached his duties of care, best interest, trust, and fair dealing.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rohr (Rohr), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rohr 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 $12,000.00 on April 23, 2024.

The client alleges that the advice she was provided regarding the rollover of funds from her 457(b) plan to an ira was inaccurate. She claims the rollover is considered a taxable event from a governmental 457(b) plan and led her to lose approximately $12,000 in value on her account.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Bortz (Bortz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bortz 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 $6,789.00 on April 18, 2024.

The client alleged the advisor provided them with the incorrect taxable income they would receive as beneficiaries of a Jackson National annuity in September 2023, leading them to take a lump sum, as opposed to other available options, causing them unintended tax consequences.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lillian Henderson (Henderson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $600,000.00 on April 22, 2024.

Claimant asserts various claims, including unsuitable recommendations and misrepresentation related to investments in his Edward Jones retirement account.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Foster (Foster), previously associated with Intercarolina Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $240,000.00 on April 23, 2024.

Allegations that inappropriate investments were performed for the claimant’s account.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Henshaw (Henshaw), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henshaw 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 $5,000.00 on April 22, 2024.

Customer alleges that representative took unauthorized loans from multiple non-variable life insurance policies.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yvette Stewart (Stewart), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $21,600.00 on April 22, 2024.

The client alleged the advisor misrepresented add on payment credit provisions for a variable annuity.

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

FINRA BrokerCheck shows a settled customer complaint on April 19, 2024.

Customer alleged that advisory fees charged in the accounts were not justified during periods when there were no transactions in the accounts. (1/1/2020-12/31/2022)

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Shafer (Shafer), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shafer 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 $50,000.01 on April 22, 2024.

Claimant is alleging unsuitable recommendations and misrepresentation.

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