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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phyllis Henderson (Henderson), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baquet (Baquet), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baquet 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

The claimants allege they were directly lied to and facts were misrepresented about investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, 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 December 16, 2025.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Grabau (Grabau), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grabau 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 $213,142.00 on December 24, 2025.

Alleges accounts were subjected to high management fees, margin charges and commissions that were not suitable/appropriate and that resulted in losses.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Olivas (Olivas), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olivas 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 $300,000.00 on December 23, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an investment strategy which was unsuitable for the customer’s investment objectives between January and February 2025.

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

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

Alleging unsuitability, lack of due diligence on product, breach of fiduciary duty, negligence, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evguenia Funderburk (Funderburk), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Funderburk 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 $15,000.00 on December 29, 2025.

The client alleged her advisor misrepresented how funds were made available to her for withdrawal in 2022 and 2023, creating a margin loan within the client’s account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Henahan (Henahan), previously associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henahan 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 December 22, 2025.

The firm received a written complaint on 12/22/2025 alleging unauthorized trades by the advisor during a transition.

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Currently financial advisor Jeffrey Mahoney (Mahoney), currently employed by brokerage firm Van Clemens & CO. Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on December 22, 2025.

Clients alleged that private placements/investment purchased between 2013 and 2019 were unsuitable.

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