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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kelly (Kelly), currently associated with Vcs Venture Securities, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, 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 $958,000.00 on January 13, 2026.

Unsuitable investments and excessive trading.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Robert Kelly (Kelly), currently employed by Cetera Investment Services LLC 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), Kelly’s most recent customer complaint alleges that Kelly 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 $6,500.00 on January 09, 2026.

Customer alleges unsuitable recommendations in a Structured Product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 January 22, 2026.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022.

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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 one disclosable event. These events include one customer complaint, alleging that Kleiner 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 $165,000.00 on January 13, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not approved by MS from November 2018 to March 2025.

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Currently financial advisor Suihock Goy (Goy), currently employed by brokerage firm Ni Advisors 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 pending customer complaint with a damage request of $499,000.00 on January 06, 2026.

Claim suitability, supervision, negligence, breach of fiduciary duty, etc. For purchase of various private placements during 2020-2022.

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

FINRA BrokerCheck shows a pending customer complaint on January 05, 2026.

Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rimel (Rimel), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimel 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 $108,149.15 on January 13, 2026.

Custodian of UTMA accounts for his children alleges (1) FA improperly refused to purchase a low-priced security for the UTMA accounts and (2) FA’s recommendation of a money market fund for those accounts was unsuitable.

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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 2 disclosable events. These events include 2 customer complaints, 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 January 06, 2026.

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 Carmen Morrone (Morrone), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrone 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 $561,303.24 on January 13, 2026.

Claimants allege failure of due diligence and dislcosure.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

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