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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Javier (Javier), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Javier 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 $30,000.00 on August 20, 2025.

Breach of Fiduciary Duty; Negligence and Negligent Misrepresentation; Breach of Contract; Breach of Fiduciary Duty; Failure to Supervise; Violation of Regulation Best Interest

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

FINRA BrokerCheck shows a pending customer complaint on August 25, 2025.

Violations of Federal Securities Laws; Violation of CA Securities Laws; CA unfair, unlawful and fraudulent business practices; Violation of CA Financial Elder Abuse Law; Breach of contract; Common Law Fraud; Breach of fiduciary duty; Negligence and gross negligence. Investments made between 2014 and 2020

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

FINRA BrokerCheck shows a pending customer complaint on August 23, 2025.

CLIENT ALLEGES REP PROVIDED INCORRECT PRODUCT TERMS REGARDING THE BNP INVESTMENTS

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diana Chernyhovsky (Chernyhovsky), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chernyhovsky 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 August 21, 2025.

Customer alleges VUL policy sold in 2021 was not suitable for their financial needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Lunceford (Lunceford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lunceford 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 $140,000.00 on August 21, 2025.

Customer alleges that an investment made in July of 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Chustz (Chustz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chustz 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 $5,000,000.00 on August 21, 2025.

Breach of Contract and Warranties, Promissory Estoppel; Consumer Protection and Deceptive Trade Practices Act; Violation of State Securities Statutes; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence; Misrepresentation/Omission and Negligent; Misrepresentation/Omission; Unjust Enrichment; Failure to Supervise; Common Law, Statutory Claims and Damages; and Vicarious & Control Person Liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodger Thomas (Thomas), currently associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thomas 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 20, 2025.

RECOMMENDATION OF UNSUITABLE INVESTMENTS IN A NUMBER OF ALTERNATIVE INVESTMENTS BETWEEN DECEMBER 2016 AND AUGUST 2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Ladner (Ladner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ladner 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 August 22, 2025.

Time frame:    2014-2024\, \, Allegations: Prose claimant alleges negligence, breach of fiduciary duty and fraud in the handling and disclosures related to their accounts and related securities-backed loan. Claimant further alleges failure to follow instructions to liquidate investments in order to pay down the loan balance and induced her to deposit funds into her investment accounts for investments that were never purchased.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Dutton (Dutton), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dutton 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 $200,000.00 on August 20, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND VIOLATION OF REG BI.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Villanyi (Villanyi), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Villanyi 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 $100,000.00 on August 21, 2025.

Customer alleges registered representative liquidated an investment without the customer’s authorization and invested in two mutual funds.

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