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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Song (Song), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Song 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 $459,999.00 on September 03, 2025.

THE CLIENT ALLEGES THAT HER ADVISOR, WITHOUT AUTHORIZATION, SIGNED ANNUITY PURCHASE PAPERWORK. ADDITIONALLY, THE CLIENT ALLEGES HER ADVISOR BORROWED $6,000. ALLEGATION PERIOD:  8/16/23 – 8/22/25

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Eschleman (Eschleman), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Eschleman 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 $1,175,140.23 on September 02, 2025.

Client alleges the recomenedation to effect a 1031 exchange into two DSTs:  Campus Walk DST and 4th & J DST were unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on September 02, 2025.

The plaintiff alleged that Evercore Group L.L.C. (the “Firm”) and Mr. Wolfson, among others, violated certain provisions of law in connection with the sale of the company.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nardella (Nardella), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nardella 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 $677,817.54 on September 05, 2025.

The client alleged the advisor sold stocks, including Meta, Microsoft, and Nvidia, without authorization between 2022 and 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Williams (Williams), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 28, 2025.

Client claims unsuitability.

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

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

Client alleges, inter alia, unsuitability with respect to FA’s recommendation to open a Liquidity Access Line for investment purposes –   Apr 2024 – Aug 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 02, 2025.

Client alleges that their accounts were mismanaged and moved to cash without their consent resulting in financial damage.

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

FINRA BrokerCheck shows a pending customer complaint on August 29, 2025.

Claims investments were not suitable, breach of fiduciary duty and financial abuse of an elderly person.

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

FINRA BrokerCheck shows a settled customer complaint on August 29, 2025.

Claimants alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth of the product(s).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Price (Price), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Price 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 September 03, 2025.

Client alleges the RR made trades in the account without their knowledge or consent.

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