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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rabbito (Rabbito), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rabbito 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 $20,000.00 on February 09, 2026.

The client alleges in October 2025, the representative misrepresented the terms of a cash promotion when reversing a $20k promotion upon the client removing funds before the 12 month asset retention period was met.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Frisch (Frisch), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 $112,766.00 on February 06, 2026.

Customer alleges 2021 trading strategy and funding were not authorized

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Badolato (Badolato), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Badolato 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 $60,000.00 on February 10, 2026.

Claimant alleges negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, and violations of FINRA’s conduct rules related to 2020 purchases of fixed annuity and mutual fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Monheit (Monheit), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monheit 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 $112,766.00 on February 06, 2026.

Client alleged the representative misappropriated her non-qualified cash that was deposited into her discretionary fee-based managed wrap account by investing the cash into the market in September2021 without her authorization. On October 4, 2022, an additional allegation was received alleging the investments were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stout (Stout), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stout 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 February 10, 2026.

Client alleges financial professional failed to follow instructions and placed unauthorized trades in a discretionary account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Candice Storm (Storm), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Storm 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 $21,390.00 on February 06, 2026.

Alleged wrongdoing in distributing municipal bonds in less than whole lots to three beneficiaries of a TOD account after the death of the account holder

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $177,000.00 on February 10, 2026.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentations, violation of finra rules, violation of the state and federal securities laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meen Rhu (Rhu), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhu 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 February 06, 2026.

Client alleges the RR executed transactions in their account without authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Yadron (Yadron), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yadron 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 February 09, 2026.

The claimant alleges the representative misrepresented and recommended unsuitable annuities.

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

FINRA BrokerCheck shows a pending customer complaint on February 10, 2026.

Breach of contract; negligence; negligent misrepresentation; fraud; breach of fiduciary duty; violations of California Corporations Code; violations of the Securities Exchange Act; violations of the California unfair competition law. Trades placed between 2016 and 2017

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