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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Melberth (Melberth), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Melberth 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 $140,000.00 on April 21, 2026.

Breach of fiduciary duty, violation of FINRA/NYSE rules, Reg BI, breach of contract, negligence, Violation of the Securities Act and Regulations, Fraudulent inducement to hold investment,

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Mcarthur (Mcarthur) 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 Mcarthur was employed by Saxony Securities, INC. at the time of the activity.  If you have been a victim of Mcarthur’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 $1,000,000.00 on April 21, 2026.

The claimant alleges that, beginning in or around November 2016 and continuing for several years thereafter, the representative, through his Registered Investment Adviser, recommended private securities that were unsuitable and misrepresented certain aspects of those recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lothspeich (Lothspeich), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lothspeich 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 $400,000.00 on April 24, 2026.

Client alleges that Financial Advisor account management and recommended investment were not in the client’s best interest as they have caused losses that will prevent him from retiring for 4-5 additional years.

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

FINRA BrokerCheck shows a pending customer complaint on April 27, 2026.

Client claims Financial Advisor purchased securities without the client’s consent six years ago, resulting in market loss and Contingent Deferred Sales Charges (CDSC) when securities were sold. (3/3/2020 – 4/27/2026)

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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 one disclosable event. These events include one customer complaint, 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 with a damage request of $100,000.00 on April 21, 2026.

Breach of contract and warranties, promissory estoppel, violations of consumer protection and deceptive trade practices act, violation of Securities statutes, breach of fiduciary duty, vicarious liability, violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Barry (Barry), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Barry 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 April 24, 2026.

Claimant alleges Violation of Regulation Best Interest, Violation of FINRA Rules 2010, 2111, and 3110, Negligence, Negligent Misrepresentations and Omissions of Material Risks, Common Law Fraud and Fraudulent Inducement, Breach of Fiduciary Duty, Violation of New York General Business Law, and Gross Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Meskan (Meskan), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meskan 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 $250,000.00 on April 23, 2026.

Claimants allege Violation of the Wisconsin Uniform Securities Act, Fraud/Negligent Misrepresentation and Negligence with regard to various investment products they purchased from 2019 to 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Noard (Noard), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noard 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 $250,000.00 on April 23, 2026.

Claimants allege Violation of the Wisconsin Uniform Securities Act, Fraud/Negligent Misrepresentation and Negligence with regard to various investment products they purchased from 2019 to 2025.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 April 23, 2026.

Boral Capital f/k/a Benchmark Investments Boral recommended the GWG L Bond and other alternative investments as a safe, suitable, low\<char_lb_r>\, risk, income producing investment. However, these alternative investments were not suitable for\<char_lb_r>\, [REDACTED] who was retired and looking to preserve his principal\<char_lb_r>\, Claimant stating investment was not suitable

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Breach of contract and warranties, promissory estoppel, violation of Consumer Protection and Deceptive Trade Practices Act, Violation of securities statues, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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