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

FINRA BrokerCheck shows a pending customer complaint on December 09, 2025.

The client complains that the Financial Advisor failed to provide suitable advice in line with the objective of capital preservation related to liquidation of the portfolio. (1/9/2025 – 3/11/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Iaquinta (Iaquinta), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Iaquinta 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 $4,000,000.00 on December 05, 2025.

Client alleged , inter alia, misrepresentation with respect to the rate that they would be charged on their managed account 2020-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erick Kuebler (Kuebler), currently associated with Sanders Morris LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuebler 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 December 09, 2025.

In December 2024, Sanders Morris acted solely in a limited agent/execution only capacity in connection with a private bond offering. Sanders Morris was not the issuer, underwriter, or seller of the securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Nagle (Nagle), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nagle 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 $50,000.00 on December 08, 2025.

Breach of Contract; Violation of Federal Securities Laws; Violation of IL Securities Law; Violation of IL Consumer Fraud and Deceptive Business Practices Act; Common Law Fraud

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Huey (Huey), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huey 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 $99,000.00 on December 09, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Carlesco (Carlesco) 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 Carlesco was employed by Cambridge Investment Research, INC. / IBN Financial Services, INC. at the time of the activity.  If you have been a victim of Carlesco’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 $96,000.00 on December 08, 2025.

Claimant, who has been a registered representative for decades, allegedly purchased a convertible note in November 2019 after a discussion with another registered representative. Claimant alleges that the other RR was selling away from his firm and that he was not an accredited investor for purposes of the investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Hurley (Hurley), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 $206,000.00 on December 11, 2025.

Alleges that investments were highly risky, foreign, concentrated and not suitable, resulting in losses.

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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 2 disclosable events. These events include 2 customer complaints, 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 December 05, 2025.

Breach of fiduciary duty; negligence and violation of Regulation BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mcmahon (Mcmahon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mcmahon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.

Plaintiff alleges misrepresentations regarding portfolio performance and tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Miller (Miller), currently associated with Raymond James & Associates, 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 pending customer complaint with a damage request of $20,350.44 on December 07, 2025.

Client alleges advisor did not invest funds upon deposit. Allegation Activity Dates: 08/30/2018 – 12/07/2025

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