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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

The clients allege that the registered representative did not act in their best interest related to the change from a fee-based account to a commission-based account from March 2020 to August 2025.

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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 one disclosable event. These events include one customer complaint, 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 $100,000.00 on October 20, 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 Thomas Shumosic (Shumosic), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shumosic 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 $17,000.00 on October 22, 2025.

Former client alleges that the representative failed to disclose the surrender charges and additional fees associated with an annuity.

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Wrongful conduct; breach of fiduciary duty; breach of written contract; constructive fraud; fraud by misrepresentation and omission; violation of state and federal securities laws; FINRA rules of fair practice and Kansas Law

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 $175,000.00 on October 23, 2025.

Claimant alleges that the RR recommended and misrepresented an unsuitable, high-risk investment and breached his fiduciary duty.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dennis Lerner (Lerner), previously associated with Cambridge Investment Research, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Lerner  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on October 21, 2025.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dollar (Dollar), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dollar 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 $34,975.97 on October 28, 2025.

The client alleges the Financial Advisor started investing in brokerage CDD's without her knowledge.

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

The client alleges that the Variable Universal Life Product he purchased in November 2021 was unsuitable.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Darnell was employed by Bankers Life Securities, INC. at the time of the activity.  If you have been a victim of Darnell’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on October 24, 2025.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Jones (Jones), previously associated with Thrivent Investment Management INC., 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 $7,342.52 on October 29, 2025.

Customer alleged the Variable Universal Life (VUL) contract issued in August 2022 was not suitable

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