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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Unsuitability and Regulation Best Interest; Breach of fiduciary duty; Negligence and Gross Negligence; Negligent Misrepresentation; Intentional Misrepresentation/Omission; Breach of Contract

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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 2 customer complaints, 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 December 15, 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 John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nole 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 $350,000.00 on December 01, 2025.

Claimant allege that respondent Paulson, acting through Nole, improperly recommended that Claimants invest monies in GWG Holdings, Inc., L Bonds. Purchases were made in 2016, 2018, and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Jones (Jones), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $34,652.65 on December 08, 2025.

CLIENT ALLEGES THAT HER ACCOUNT WAS NOT MANAGED IN HER BEST INTEREST 2020-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Sachs (Sachs), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sachs 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 $5,000.00 on December 09, 2021.

The customer is alleging misrepresentation of her investment and insurance portfolio, citing misleading sales practices, failure to create a financial plan in the customer’s best interests and negligence in the management of the customer’s portfolio.

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Previously financial advisor Andrew Marschall (Marschall), previously employed by brokerage firm Pnc Investments 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 settled customer complaint with a damage request of $100,001.00 on December 09, 2021.

Client alleges breach of fiduciary duty related to unsuitable recommendation of non-traded REIT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristian Finfrock (Finfrock), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finfrock 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 $100,000.00 on December 14, 2021.

Breach of fiduciary duty, breach of contract and negligence, negligent supervision, fraudulent inducement to hold investment, violation of FINRA/NYSE rules, and violation of the securities laws, including the Wisconsin Securities Act

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Magli (Magli), currently associated with Magstar Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Magli 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 $6,000,000.00 on December 15, 2021.

Plaintiff alleges that Magstar Capital, LLC and David Magli breached an agreement to provide certain fundraising and financial advisory services. Magstar Capital was engaged by Plaintiff, an early-stage startup company looking to launch a technology platform focused on the travel industry. They approached Magstar Capital seeking assistance with their efforts to raise a seed-round of capital during the height of COVID. After an unsuccessful period of capital raising effort, Magstar Capital terminated its engagement with the Plaintiff. Plaintiff thereafter filed litigation against Magstar Capital and Mr. Magli seeking declaratory relief to void the contract and its obligations thereunder, as well as other relief. Magstar Capital and Mr. Magli deny the allegations in the complaint and are vigorously defending the action.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wong (Wong), currently associated with Integrity Brokerage, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 $489,862.00 on December 14, 2021.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care.  Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Donoso (Donoso), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Donoso 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 $250,000.00 on December 09, 2021.

Claimant alleges that their registered representative recommended unsuitable investments

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