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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elijah Goble (Goble), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Goble 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 $276,189.47 on October 16, 2025.

Alledged improper handling of account from March 2025 to May 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gardner (Gardner), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gardner 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 $465,000.00 on October 14, 2025.

Allegations of unsuitability regarding option trading.

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Currently financial advisor Maxim Tulupnikoff (Tulupnikoff), currently employed by brokerage firm David Lerner Associates, INC. has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. 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 $65,000.00 on October 14, 2025.

FINRA BrokerCheck shows a final customer complaint on May 20, 2025.

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

FINRA BrokerCheck shows a pending customer complaint on October 17, 2025.

The Customers express serious concerns regarding the suitability of the Variable Annuities recommended in March 2018, November 2021, and April 2025 and request that they be permitted to transfer their assets without surrender charges or penalties.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melton Weaver (Weaver), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weaver recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 16, 2025.

Plaintiffs allege they purchased e-commerce stores and digital real estate from champion e-com, which was operated by lan prukner, jake fruge, melton weaver and another individual. Plaintiffs allege, among other things, that the e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of pfs investments and the complaint indicates that they made their purchases after prukner, fruge and weaver were no longer associated with pfs investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Prukner (Prukner), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Prukner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 16, 2025.

Plaintiffs allege they purchased e-commerce stores and digital real estate from champion e-com, which was operated by lan prukner, jake fruge, melton weaver and another individual. Plaintiffs allege, among other things, that the e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of pfs investments and the complaint indicates that they made their purchases after prukner, fruge and weaver were no longer associated with pfs investments.

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2025.

Customers alleged the investments they purchased were not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stucke 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 $690,000.00 on October 15, 2025.

Claimant alleges that the RR recommended unsuitable and risky investments that resulted in substantial losses.

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Time frame: Unspecified. Customer alleges breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customer's investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Adler (Adler), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adler 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 October 09, 2025.

Client alleges that the financial professional did not properly invest assets in his account from 2022 – 2025.

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