Reg BI

Broker Ronald Wingerter in Arkadios Capital Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Wingerter (Wingerter), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Wingerter 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 October 28, 2025.

Unsuitable investments, gross negligence, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Mark Williams in Firm Kingswood Capital Partners, LLC

January 6, 2026 | by Staff Attorney

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 $1,000,000.00 on October 21, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, speculative and illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Leroy Born in Firm Wells Fargo Clearing Services, LLC

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 18, 2025.

The client verbally complained that the Financial Advisor did not explain the potential interest rate risk of a long term investment or lack of tax advantage. (8/27/2024 – 6/18/2025)

Broker Lei Wang in Osaic Wealth, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lei Wang (Wang), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 October 28, 2025.

Customer alleges that a VUL purchased in 2023 was misrepresented.

Broker Ting Chen in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 October 27, 2025.

Claimant alleges breach of contract, violation of state securities statutes, negligence, misrepresentation, and breach of fiduciary duty related to a June 2020 GWG L Bond investment.

There are Recent Customer Complaints with Broker Roger Bowlin in Firm Aurora Securities

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bowlin 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 $475,000.00 on October 30, 2025.

Claimant alleges unsuitable investment recommendation.

There are Recent Customer Complaints with Broker Kevin Welp in Firm Vanguard Marketing Corporation

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 30, 2025.

CLIENT ALLEGES THAT THE ADVISOR FAILED TO PERMIT ALLOCATION OF 100% EQUITIES IN THE CLIENT\\u2019S MANAGED ACCOUNT IN MARCH 2024, RESULTING IN A SIGNIFICANT LOSS OF POTENTIAL CAPITAL APPRECIATION.

Broker Michael Sebald in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sebald (Sebald), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sebald 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 $43,000.00 on October 27, 2025.

Claimant alleges negligence, breach of fiduciary duty, and negligent supervision regarding a 2020 GWG L Bonds investment.

Broker Thomas Batson in Morgan Stanley Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO IMPLENTATION OF CHANGE OF STRATEGY IN MANAGED ACCOUNT IN AUGUST 2025

Broker Donald Mckiernan in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Mckiernan (Mckiernan), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckiernan 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 October 27, 2025.

Claimant alleges breach of contract, violation of state securities statutes, negligence, misrepresentation, and breach of fiduciary duty related to a June 2020 GWG L Bond investment.