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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that investments made in 2012-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that an investment made in 2014 was unsuitable for the customers’ investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gravelyn (Gravelyn), previously associated with Northwestern Mutual Investment Services, LLC, has at least 12 disclosable events. These events include 11 customer complaints, one regulatory event, alleging that Gravelyn 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 $1,672.46 on May 03, 2024.

Customer alleged they did not sign non-variable life insurance application documents.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Taffer (Taffer), previously associated with AE Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Taffer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 03, 2024.

Allegation is that someone other than the client signed on behalf of the client for his fixed annuity application.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Wells (Wells), previously associated with Securities Service Network, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wells 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 $75,000.00 on May 06, 2024.

The customer alleges that two alternative investment recommendations were not suitable for her needs and objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kent Herring (Herring), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Herring 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 $15,000.00 on May 06, 2024.

Claimant alleges that the Representative recommended an unsuitable investment strategy that included a risky and complex insurance product. Claimant further alleges that features of the product were misrepresented by the Representative.

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