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
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.
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.
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.
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.
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.
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.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Landas (Landas), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.
Customer alleges the Variable Universal Life insurance policy purchased in November 2025 was not signed by her and she is requesting the policy to be cancelled.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Giordano (Giordano), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giordano 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.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Asher Wolmark (Wolmark), previously associated with Kingsbury Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wolmark 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 December 19, 2025.
Allegations regarding unsuitable investments from 2021 through 2025.
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