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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Chen (Chen), currently associated with PHX Financial, 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 $1,180,000.00 on December 18, 2025.

Deceased Claimants estate alleges that between the period from April 2019 to December 2023 there were violations associated with the SEC’s Regulation Best Interest rules.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hutchens (Hutchens), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hutchens 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 $95,000.00 on December 16, 2025.

On August 16, 2018, Claimants became clients of Monon Wealth Management, and terminated their relationship on June 28, 2023. On December 16, 2025, Claimants, through their counsel, submitted to Respondents a Demand for Restitution related to an investment recommended by Respondents (GWG Holdings L Bond) and breach of fiduciary duty during their relationship with Monon Wealth Management. A settlement was reached, and an agreement was signed by the Respondents on February 13, 2026 and by the Claimants on February 10, 2026.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimson Cao (Cao), currently associated with San Blas Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cao 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 $75,000.00 on May 15, 2024.

Claimants make numerous allegations against financial advisor including referral of now deceased client (‘decedent’) to an estate planning attorney while the decedent was alleged to have diminished capacity. Claimant alleges this was to put the financial advisor and attorney in a position of unfettered control over the decedent’s wealth.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Johnson (Johnson), currently associated with Cibc World Markets Corp., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 18, 2025.

Claimants allege Mr. Johnson recommended risky products and unknown entity (inspired Healthcare Capital “IHC”) which were unsuitable causing loses between $100,000 to $500,000.

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2025.

The client alleges the Investment Advisor Representative made unsuitable, high-risk trades in client account which led to losses.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Gustavo Dolfino (Dolfino) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Dolfino was employed by Silver Leaf Partners, LLC at the time of the activity.  If you have been a victim of Dolfino’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $800,000.00 on December 05, 2025.

Claimants allege investment losses in Student Global that resulted from Mr. Dolfino engaging is “selling away” activity which resulted in Claimants losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Carayanis (Carayanis), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Carayanis 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 $3,303,000.00 on November 11, 2025.

Client alleges, inter alia, unsuitability with respect to the management of their account 2024 – 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Elliott (Elliott), currently associated with Realized Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Elliott 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 10, 2025.

Claimant alleges Ms. Elliott was a control person when he executed an unsolicited 1031 strategy and purchased several DST offerings.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Benson (Benson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Benson 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 November 26, 2025.

Customer alleges unsuitability of a variable annuity sold in 2025 by the Financial Professional.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Stern (Stern), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 $40,991.34 on January 06, 2026.

Registered Rep failed to ensure outstanding policy loans were paid off prior to application submission, resulting in an unintended taxable event.

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