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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Olivas (Olivas), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivas 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 $12,130.00 on August 05, 2025.

Customer alleges that advisor did not follow all trade instructions resulting in loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $294,496.00 on August 06, 2025.

Customers allege that in or around March 2021, the Representative did not have the customers’ best interest in mind when he recommended unsuitiable variable universal life insurance policies and that the Representative misrepresented the policies as investments.

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

FINRA BrokerCheck shows a settled customer complaint on August 05, 2025.

Customer alleged that the Representative misrepresented the terms of a variable universal life insurance policy that was issued in May 2024, including the frequency of premium payments and policy loan provisions. Customer further alleged that he did not authorize a policy loan that was taken from a different variable universal life insurance policy purchased in 2022 and was misled by the Representative to believe that the funds the customer received were a refund for an overpayment made related to the policy issued in May 2024, when in fact the funds were proceeds from the policy loan from the 2022 policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Duggan (Duggan), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Duggan 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 August 05, 2025.

Suitability/negligence. 2017-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Gorman (Gorman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gorman 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 $465,000.00 on August 07, 2025.

Claimant alleges unsuitable recommendation and misrepresentation with respect to options investment strategy – Sep 2019 to Apr 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Braccia (Braccia), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braccia 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 $10,000.00 on August 06, 2025.

Claimant generally alleges suitability, misrepresentation, failure to supervise and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Anderson (Anderson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $17,247.08 on August 01, 2025.

The clients alleged that the recommendation to purchase their non-qualified RiverSource Variable Universal Life Insurance policies was unsuitable in June 2023 based on the client’s goals and needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Nobles (Nobles), currently associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nobles 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 $25,000.00 on August 01, 2025.

Client attorney alleges unsuitable investment, breach of fiduciary duty/ negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tunink 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 $135,500.00 on August 01, 2025.

Customer lent $140,000 which had not been paid back.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sosa (Sosa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sosa 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 $98,500.00 on August 01, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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