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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Suess (Suess), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Suess 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 19, 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, FINRA Conduct Rule 2010, FINRA Conduct Rule 2020, FINRA Conduct Rule 2090, FINRA Conduct Rule 2111, FINRA Conduct Rule 2210, FINRA Conduct Rule 3110, MISREPRESENTATION/OMMISSION AND NEGLIGENT MISREPRESENTATION/OMISSION, UNJUST ENRICHMENT, 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 Gary Madrid (Madrid), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Madrid 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 $50,000.00 on August 13, 2025.

Customer alleges that the recommendation to purchase GWG bonds constituted a breach of fiduciary duty, negligence and violations of Reg BI.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Brown (Brown), currently associated with Willow Cove Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 15, 2025.

Unsuitable Investment Recommendations, Failure of Due Diligence and Misrepresentations, Failure to Supervisory,  Violation of FINRA Rule 3240

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sophie Stevens (Stevens), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 14, 2025.

The client alleged the advisor did not manage account and let funds sit uninvested.

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

Client alleges the RR did not follow instructions on how to invest her funds and placed them in an inappropriate product resulting in missed growth opportunity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reuben Brown (Brown), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $304,164.00 on August 20, 2025.

Claimant alleges in December of 2021, the registered representative approached the Claimant with an opportunity to invest in a “risk free” and “tax free” promissory note of which she agreed to purchase $260,000.00 funded from her Edward Jones accounts. Claimant alleges the registered representative promised a multiple return on the investment in a short period of time with relaying very little specifics. Claimant alleges the investment later proved to be a total fraud and complete loss. Claimant also alleges a tax liability of $44,164. 00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Tisone (Tisone), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tisone 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 $850,000.00 on August 19, 2025.

The client alleges that the representative took action outside the scope of the client’s consent in an advisory account, and materially misrepresented the risks associated with an options strategy from October 2024, notwithstanding account documentation, presentation materials and discussions to the contrary.

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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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