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

FINRA BrokerCheck shows a pending customer complaint on March 16, 2026.

The policyowners allege they were misled when they purchased variable annuities in November and December 2024, respectively, and that the policies do not suit their needs. The policyowners request to terminate the variable annuities with no surrender charges or costs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emmanuel Jacobs (Jacobs), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jacobs 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 $13,000.00 on March 16, 2026.

Client alleges that the FR repeatedly told him he would never incur any fees, commissions, or charges of any kind. Client alleges this was false and states “upon purchasing the American Funds Class B mutual fund, approx. $13,000 was deducted in fees from my investment.”

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kangas (Kangas), currently associated with Wealthforge Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kangas 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 $150,000.00 on March 16, 2026.

From investment activity in April 2022, claimants allege the following: negligence, lack of suitability, fraud, lack of due diligence, misrepresentation, omitting material facts, breach of contract, and breach of fiduciary duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wright (Wright), currently associated with Rockefeller Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wright 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 $1,000,000.00 on March 16, 2026.

Customer alleges representative recommended certain alternatives investments that were not consistent with customer’s investment profile.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alejandro Villegas (Villegas), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Villegas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 16, 2026.

Client alleges misrepresentation related to the return on investment account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raper (Raper), currently associated with Wealthforge Securities, LLC / Wealthforge Distributors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raper 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 $150,000.00 on March 16, 2026.

From investment activity in April 2022, claimants allege the following: negligence, lack of suitability, fraud, lack of due diligence, misrepresentation, omitting material facts, breach of contract, breach of fiduciary duty, and failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Carbray (Carbray), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbray 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 March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Pablo Benavides (Benavides), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Benavides recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 16, 2026.

Client alleges misrepresentation related to the return on investment account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Comer (Comer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Comer 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 $21,408.00 on March 16, 2026.

The client alleges in December 2025, the representative failed to follow instructions regarding executing transactions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shay Scruggs (Scruggs), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scruggs 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 $1,000,000.00 on March 16, 2026.

Customer alleges representative recommended certain alternatives investments that were not consistent with customer’s investment profile.

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