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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Langer (Langer), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Langer 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 $559,055.00 on October 31, 2025.

Customer alleges the registered representative affixed the electronic signature of a contact person to a document without authorization. May 6, 2025.

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

FINRA BrokerCheck shows a final customer complaint on October 31, 2025.

Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA during an investigation that originated from its review of the Form U5 filed by his member firm. The finding stated that the firm filed the Form U5 stating that it discharged Kleiner due to concerns related to his recommendation of non-firm approved and firm restricted investments to customers, including ones in which he was also invested, failure to fully disclose outside investment, and use of a personal device to engage in unauthorized disclosure of confidential, internal use only firm information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tunink 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 $25,000.00 on October 30, 2025.

Advisor borrowed funds from customer for investment opportunity away from the Firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ledesma (Ledesma), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Ledesma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 12, 2025.

Violation of Federal Securities Laws; Violations of the California Securities Act; Violation of Ohio Securities Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence 03/2023

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

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

The Statement of Claim alleges the clients were recommended speculative, high-risk investments despite their request to have a reliable portfolio that would generate some income and preserve capital.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Biggs (Biggs), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biggs 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 November 11, 2025.

Client alleges VUL policies sold in 1989 were misrepresented by RR.

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The Los Angeles Times published a major story today examining the fallout from President Trump’s decision to commute the sentence of David Gentile, former CEO of GPB Capital, after he served only days of a seven-year federal prison term for orchestrating a massive $1.6 billion fraud that devastated more than 10,000 investors nationwide.

For the retirees, teachers, nurses, small business owners, and families who entrusted their savings to GPB — many of whom will never fully recover their losses — the commutation is not just shocking. It is deeply painful.

As I told the LA Times:

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FINRA’s Latest Action on GWG L-Bonds Confirms What Investors Have Been Saying for Years

FINRA’s recent enforcement action involving the sale of GWG L-Bonds to elderly investors underscores a systemic problem that has directly harmed thousands of families who were steered into these speculative, illiquid products. The case—where an advisor concentrated an 81-year-old client’s account in GWG bonds—illustrates the same failures we continue to see in our GWG investigations.

As I told InvestmentNews:

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The client alleged unauthorized trading in his account in September 2021.

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Currently financial advisor Rey Descalso (Descalso), currently employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. 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 settled customer complaint with a damage request of $50,000.00 on December 20, 2021.

Client alleges a REIT and BDC purchased were unsuitable.

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