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

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

The claimants allege they were directly lied to and facts were misrepresented about investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Geter (Geter), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Geter 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 $5,766.82 on December 16, 2025.

The client alleges in September of 2025, the representative failed to follow instructions regarding the purchasing and selling of specific stocks.

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

FINRA BrokerCheck shows a pending customer complaint on December 11, 2025.

This matter involves a disagreement between two sisters regarding the handling of their late parent’s account. It is suggested that one sister May have moved funds in a way the other questions, and that the financial professional May have been involved in advising on or assisting with those transactions.

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $111,000.00 on December 19, 2025.

The customer alleges that on October 1, 2020, the Registered Representative recommended and misrepresented an unsuitable, speculative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hilgardt Lamprecht (Lamprecht), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lamprecht 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 $45,000.00 on December 22, 2025.

Unsuitable VUL recommendation, undisclosed compensation conflicts, non-delivery of paid planning services, operational failures following termination.

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Time Frame: September 23rd, 2019 to December 30th, 2019\, \, What were the allegations against the individual? The client alleges his Financial Advisor colluded with his ex-wife to drain the account via unauthorized transfer of funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jirinec (Jirinec), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jirinec 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 $1,180,000.00 on December 18, 2025.

The Estate of deceased clients allege there were regulation best interest violations during the account period 06/01/2020 through 12/2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mancuso (Mancuso), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mancuso 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramnarain Jaigobind (Jaigobind), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jaigobind 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 $216,000.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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