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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Lee (Lee), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $90,800,000.00 on November 26, 2025.

Claimant, an LLC organized in the BVI, alleges violations of the FINRA Conduct Rules of Fair Practice and SEC’s Regulation Best Interest (RegBI) with respect to unsolicited trades that resulted in a margin deficit on October 10, 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Taylor (Taylor), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 November 30, 2025.

Customer alleges unauthorized trading of an equity position and misrepresentation of a variable universal life policy by the financial professionals.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kexin Xu (Xu), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Xu 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 $90,800,000.00 on November 26, 2025.

Claimant, an LLC organized in the BVI, alleges violations of the FINRA Conduct Rules of Fair Practice and SEC’s Regulation Best Interest (RegBI) with respect to unsolicited trades that resulted in a margin deficit on October 10, 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Sievers (Sievers), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sievers 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 $36,325.56 on December 05, 2025.

Bankers Life Securities, Inc. (BLS) received a complaint on December 5, 2025. In the complaint, the client alleged that the terms of an annuity purchased through the firm's insurance affiliate, Bankers Life and Casualty Company (BLC),  were misrepresented, specifically regarding the surrender period and associated penalties. The client expressed dissatisfaction with the service and annuity performance and requested that the surrender penalty be waived. While the BLC annuities are not securities and were issued by BLC, the Firm is reporting this complaint because the annuities were funded by the recommendation to liquidate securities by a financial representative of the Firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Alezi (Alezi), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alezi 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, 2025.

The client alleges she loaned the Financial Advisor money for an investment strategy that would generate 30% returns. The client states the Financial Advisor has only made nominal repayments to the loan and she has not received a 30% return.

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2025.

Client alleges misrepresentation with respect to ubti tax liability he incurred on master limited partnerships sold in his ira when he transferred them into morgan stanley 2024-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Valenti (Valenti), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valenti 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 $5,000.00 on November 30, 2025.

Customer alleges unauthorized trading of an equity position and misrepresentation of a variable universal life policy by the financial professionals.

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

FINRA BrokerCheck shows a pending customer complaint on December 03, 2025.

Customers allege that variable annuities recommended to them in 2011 and 2021 were not adequately disclosed and were not suitable.

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

FINRA BrokerCheck shows a pending customer complaint on December 04, 2025.

An institutional investor has filed a civil suit in Indiana State Court naming Mr. Dewey, a former investment fund he worked for, and others as defendants, in connection with losses caused by fraudulent conduct at one of the companies in which the fund invested. The plaintiff alleges that Mr. Dewey and the other defendants, among other things, knew about and failed to disclose the fraud to the investor. \,  \, Mr. Dewey, however, played no role in the investment at issue, as he had left the firm more than nine months before the fund's investment was made. In terms of timeline, Mr. Dewey was hired by the fund on 9/1/20 and he left the firm 6/23/21.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions;  violation of FINRA rules; violation of California Corporation Code Section 25401 and 25501 and federal securities laws and violation of Regulation Best Interest

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