Reg BI

There are Recent Customer Complaints with Broker Patrick Lam in Firm Emerson Equity LLC

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Breach of contract and warranties, promissory estoppel; violation of fraud and estate securities statutes and the deceptive practices act (DTPA); violation of Regulation Best Interest; Breach of fiduciary duty; claims under common law; vicarious liability;

Broker Matthew Stroud in U.S. Bancorp Advisors, LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stroud (Stroud), currently associated with U.S. Bancorp Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stroud 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 $21,082.48 on January 27, 2026.

Customer alleges representative’s failure to execute clear and confirmed trade instructions related to his account.

Broker Corey Caron in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 29, 2026.

Arbitration claimants contend that registered representative failed adequately to supervise a different individual accused of misappropriating from insurance customers.

Broker Taulant Cela in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taulant Cela (Cela), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cela 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 $163,360.00 on January 29, 2026.

Customer alleges unauthorized trading regarding a managed account investment. Activity dates June 2019 to January 2020.

There are Recent Customer Complaints with Broker Patty Franklin in Firm Fidelity Brokerage Services LLC

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Breach of fiduciary duty; Violation of FINRA/NYSE rules, breach of contract and negligence; Violation of securities laws and other securities laws, acts and regulations; fraud and fraudulent inducement to hold investment; unjust enrichment

Broker Dominic Baldini in Emerson Equity LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Baldini (Baldini), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baldini 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 $643,509.94 on January 27, 2026.

The claim alleges control person liability with respect to an investment which it indicates occurred on 11/3/2021.

Broker Sean Mckeever in Morgan Stanley Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mckeever (Mckeever), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckeever 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

There are Recent Customer Complaints with Broker James Killeen in Firm Stifel, Nicolaus & Company, Incorporated

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Killeen (Killeen), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Killeen 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 $500,000.00 on January 27, 2026.

Claimants allege breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act, and Rule 10B-5 of the Securities and Exchange Commission, and violation of the California Corporations Code.

Broker Ernest Dean in Morgan Stanley Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Claimant alleges, inter alia, unsuitability with respect to an investment strategy involving private equity and an LAL – Aug 2015 to Feb 2019.

There are Recent Customer Complaints with Broker Stephen Wiedemann in Firm Wells Fargo Clearing Services, LLC

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Claimant alleges that during an unspecified time period, the FA invested his assets in unsuitable investments.