Reg BI

Broker J. Paul Escudero in Cetera Advisors LLC Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

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

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

Client Alleges unsuitable and unmonitored strategy in their Advisory Retirement Accounts.

Broker Kimberly Neely in Keystone Global / Redtail Capital Markets, LLC / Race Rock Capital LLC / Dalmore Group LLC / Mc Square Capital, LLC / Inx Securities, LLC Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Neely (Neely), currently associated with Keystone Global / Redtail Capital Markets, LLC / Race Rock Capital LLC / Dalmore Group LLC / Mc Square Capital, LLC / Inx Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Neely 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 $159,350.00 on September 25, 2025.

Customer alleges unsuitability, breach of contract and negligence on $3,500 worth of security tokens he purchased in April 2021 directly with INX Limited through an F1 offering , a company that was not affiliated with INX Securities, LLC (at the time called Openfinance Securities, LLC).

There are Recent Customer Complaints with Broker Bryon Martinsen in Firm Centaurus Financial, INC.

February 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinsen 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 November 10, 2025.

The customer alleges that in November 2017 and in December 2019, the Registered Representative recommended and misrepresented unsuitable, high-risk investments.

Broker Douglas Dulac in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Dulac (Dulac), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Dulac recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 06, 2025.

Unsuitable investments involving an alternative investment.

Broker Michael Laine in LPL Financial LLC Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2025.

The customer alleged the financial advisor did not verbally confirm withdrawals with the customer.

Broker Thomas Brusca in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2025.

Customer alleges Financial Advisor failed to follow instructions October 14 2025 to October 19 2025

Broker Blake Furgerson in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Customers allege registered representative did not fully disclose investments, which customers claim they would not have approved if they were told.

There are Recent Customer Complaints with Broker Ryan Sherer in Firm Emerson Equity LLC

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

There are Recent Customer Complaints with Broker Mark Ramos in Firm LPL Financial LLC

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ramos (Ramos), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramos 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 November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

Broker Edward Munoz in LPL Financial LLC Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.