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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Dolgoff (Dolgoff), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dolgoff 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 $109,290.47 on July 09, 2025.

Customers allege they suffered losses as a result of unauthorized trading relating to a variable annuity in January 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pablo Paternina (Paternina), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paternina 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 $925,000.00 on July 25, 2025.

The client alleged that the representative, who did not have discretionary authority, failed to follow instructions, act in accordance with the client’s investment objectives, and disclose the related risks with respect to the strategy employed, notwithstanding the trades being placed with the client’s consent in a client-directed brokerage account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Yeros (Yeros), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Yeros 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 $17,632.89 on August 13, 2025.

The client alleges in April 2025, the representative failed to follow his instructions regarding the execution of trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hurm (Hurm), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurm 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 July 31, 2025.

Clients allege the RR misrepresented the terms of their variable life insurance policies purchased in 2021.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eric Ruthman (Ruthman), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ruthman’s most recent customer complaint alleges that Ruthman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $326,341.61 on July 22, 2025.

Client claims rep invested her money in structured notes that were unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joey Miller (Miller), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $779,212.00 on August 04, 2025.

Client alleges registered representative sold an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Beam (Beam), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beam 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 August 04, 2025.

Client invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges unsuitable recommendations, and violations of Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cara Miller (Miller), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $30,000.00 on July 23, 2025.

Alleged unsuitable investment in limited partnership

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

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

Statement of claim alleges breach of contract, breach of fiduciary duty, etc., regarding two client households purchasing corporate bonds during 2018-2020. The issuing company subsequently declared bankruptcy and proceedings are continuing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elaine Zito (Zito), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zito 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 $325,000.00 on July 23, 2025.

Breach of contract; breach of fiduciary duty; negligence; and violations of state and federal securities rules and laws.

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