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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Slater Gautreau (Slater Gautreau), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slater Gautreau 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 September 15, 2025.

Breach of contract; Breach of fiduciary duty; Professional negligence; Fraudulent concealment; Negligent misrepresentation. The complaint alleges that, around October 2024, the defendant provided advice regarding IRA distributions to fund a property purchase, resulting in unexpected taxes and penalties on a $253,000 distribution.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant 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 $422,000.00 on June 10, 2025.

Sale of Hartman REIT, which is alleged to be a failed product. Claimants allege suitability, breach of contract, violations of standards of commercial honor and principles of trade, use of manipulative or fraudulent device, and respondeat superior.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shopa (Shopa), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shopa 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 $2,200,000.00 on September 09, 2025.

Allegations include a substantial drop in portfolio value and unsuitable recommendation and sale of a variable annuity and REIT from 2014 to 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $125,000.00 on August 28, 2025.

The claimant alleges unsuitable, illiquid, and high-risk alternative investments.

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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 09, 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 William Sines (Sines), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sines 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 $88,000.00 on September 15, 2025.

Client alleges they were sold two products that were not in their best interest. The sale of the products occurred at prior firms.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Vance (Vance), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $130,000.00 on September 15, 2025.

Suitability/negligence. 2018-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Ecker (Ecker), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker 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 $55,000.00 on July 24, 2025.

Unsuitable recommendations of alternative investments.

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

FINRA BrokerCheck shows a settled customer complaint on September 10, 2025.

Clients have asserted that they suffered financial losses related to investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald White (White), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that White recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

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