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

FINRA BrokerCheck shows a settled customer complaint on May 06, 2026.

Customer alleges the registered rep, who was her then son in law, made unauthorized changes to her policies without her knowledge or consent.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Graham 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 $40,000.00 on May 08, 2026.

Client alleges the advisor misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $795,000.00 on April 30, 2026.

Claimants allege that investments in two DSTs sponsored by Versity Investments LLC (aka Crew), One on 4th and Hayworth Tanglewood, were unsuitable and that material risks related to the sponsor, structure, and underlying properties were not adequately disclosed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Ewing (Ewing), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ewing 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 $30,000.00 on May 05, 2026.

The customer alleges that the Registered Representative recommended unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Grove (Grove), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grove 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 $5,001.00 on May 10, 2026.

The complainant alleges that the VUL policy that the registered representative recommended made no sense because the exchange from his Whole Life policy resulted in approximately $44,000 loss in cash value, a drop in death benefits from over $2.8 million with the Whole Life policy to only $1.7 million with the VUL, as well as a triggered tax liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Rhee (Rhee), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhee 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 $60,000.00 on May 07, 2026.

Unsuitable sale and the lack of due diligence associated with the sale of Atlas Growth Partners.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Devita (Devita), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Devita 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 May 08, 2026.

Client alleges Unsuitable Recommendations, Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation and Omission, Violation of Finra Rules and industry standards related to illiquid/alternative investments purchased through his representative at Moloney Securities, and prior to moving his accounts to Ausdal. At no time has Mr. DeVita been the client’s representative, nor did he supervise the transactions at issue as they were not purchased through Ausdal.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Porter (Porter), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Porter 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 May 04, 2026.

Claimant alleges misconduct including negligence, breach of fiduciary duty, breach of contract and violation of FINRA rules.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer 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 $1,154,855.68 on May 05, 2026.

Suitability, violation of Regulation Best Interest, misrepresentations and omission of material facts, negligence, breach of fiduciary duty. Investments done in or around 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorris Jones (Jones), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $280,000.00 on May 08, 2026.

Suitability. Client alleges they wanted low risk and should not have been invested in these securities. From 2016 to present.

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