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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Roberts 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 21, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Moore (Moore), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $900,000.00 on August 22, 2025.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Robert Moore in July 2021 to invest in Spring Hills Holdings.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cantel (Cantel), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cantel 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 $1,500,000.00 on August 21, 2025.

The claimants allege that the investments purchased from 2015-2022 were unsuitable and/or not in their best interest and were misrepresented to them. In addition, the claimants allege  the firm failed to supervise the registered representative and properly supervise the accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Hancock (Hancock), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hancock 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 19, 2025.

Suitability/negligence. 2011-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zhi Ying Guan (Guan), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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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 2 disclosable events. These events include 2 customer complaints, 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 August 27, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lickiss 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 $11,000,000.00 on August 25, 2025.

Fraud, sold fictious notes unrelated to Arkadios Capital

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Tartaglini (Tartaglini), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tartaglini 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 $425,000.00 on August 27, 2025.

Poor Recommendation/Poor Advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Ludwig (Ludwig), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ludwig 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 $25,000.00 on August 27, 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 Patrick Lam (Lam), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lam recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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