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

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

Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Consumer Protection Statutes; vicarious liablity; claims under common law; trades placed sometime in 2020

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

FINRA BrokerCheck shows a final customer complaint on October 23, 2025.

Respondent Whitaker failed to respond to FINRA requests for information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Li Kelly (Kelly), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $1,950,000.00 on October 25, 2025.

Claim purports unsuitable recommendation of corporate bond in which the issuer subsequently declared bankruptcy. Bond purchases were made in 2019 by four individuals in this combined case.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on October 24, 2025.

Claimant alleges that in 2015 and 2016, former advisor Hess recommended that she invest her retirement funds in a ROTH IRA account rather than contribute to her 403B account through her employer. In July 2025, Claimant discovered that she had not been contributing to the Ameriprise ROTH IRA account. Claimant claims that Hess should have followed up with her on contributing to her ROTH, but did not.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Myers (Myers), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 $300,000.00 on October 27, 2025.

Allege investment was not suitable in light of Claimants’ stated investment objectives and risk tolerance.

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

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

Plaintiff alleges that in 2021, the FA misrepresented New Jersey inheritance tax regulations which resulted in $377,000 in taxes being imposed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald York (York), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that York 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.

Claims unsuitable purchase of a DST (private Placement) on 2/1/2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hovanic (Hovanic), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Hovanic 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 $181,500.00 on October 24, 2025.

Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Grosskopf (Grosskopf), currently associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grosskopf 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 $450,000.00 on October 28, 2025.

The claimants claim that they were sold an indexed universal life insurance policy between 2013 and 2017 that was unsuitable for them. The claimants allege that the representative made unsuitable recommendations in that premiums for the policy were withdrawn from qualified accounts causing the claimants to incur IRS early withdrawal penalties. In connection with these recommendations, the claimants allege breach of fiduciary duty, negligence, violations of FINRA rules, misrepresentation, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 28, 2025.

Unsuitability, misrepresentation and breach of fiduciary duty, May 23, 2018 the date of the first purchase of Energy 12.

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