Andre Kapulenui Kaluna of Avondale Arizona a stockbroker currently registered with LPL Financial LLC is referenced in a customer initiated investment related written complaint on February 1, 2018 in which the customer requested $36,451.00 in damages supported by allegations that between April of 2017 and December of 2017, the customer’s instructions were not followed regarding an allocation of the customer’s funds in exchange traded funds.

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Kaluna is referenced in three additional customer initiated investment related disputes pertaining to accusations of Kaluna’s misconduct during the time that he was employed by Salomon Smith Barney Inc. and Morgan Stanley DW Inc. For example, on April 21, 2003, a customer filed an investment related complaint concerning Kaluna’s conduct where the customer sought unspecified damages based upon allegations that the customer was placed in variable annuities that were not suitable for the customer.

Moreover, on November 15, 2004, a customer filed an investment related complaint regarding Kaluna’s activities in which the customer requested $51,000.00 in damages founded on accusations that Kaluna made unsuitable mutual fund recommendations to the customer. On March 7, 2011, another customer filed an investment related complaint involving Kaluna’s conduct where the customer sought $100,000.00 in damages supported by allegations that the customer’s instructions were not followed concerning the liquidation of exchange traded funds from the customer’s wrap account.

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