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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Buttler (Buttler), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buttler 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 $200,000.00 on June 09, 2025.

Unsuitable trading activity, unauthorized transactions, and excessive commissions

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Qusai Aljamous (Aljamous), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aljamous 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 June 09, 2025.

Customer alleges that he was advised by the registered representative to open an options account with Merrill Lynch/Bank of America, and the registered representative proceeded to trade within the account causing the customer to incur losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Windsor (Windsor), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Windsor 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 $1,003,025.92 on June 10, 2025.

Claimant alleges that in April 2025, the registered representative failed to follow\, instructions.

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

FINRA BrokerCheck shows a pending customer complaint on June 06, 2025.

Client alleges that the Registered Index-Linked Annuities were not made clear to her and that she did not knowingly authorize them. Client also alleges that a withdrawal was processed from her IRA account and that she would have not knowingly agreed to withdraw funds from her IRA.

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

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

Customer’s Power of Attorney alleges the income and liquid net worth provided for the customer is inaccurate and requests a review of the customer’s policies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Lovell (Lovell), currently associated with Infinity Financial Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lovell 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 June 06, 2025.

Unsuitable Investment Recommendations. Client claims misrepresentation, omission, or failure to disclose material facts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dax Weindorf (Weindorf), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weindorf 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 $95,000.00 on June 09, 2025.

Customer alleges that REIT investments recommended by RR were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Violation of common law fraud, breach of fiduciary duty, negligence, unsuitable recommendations. In or around 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Wooden (Wooden), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Wooden 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 June 06, 2025.

Plaintiff alleges that the investment recommendations made were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lowry 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 $200,000.00 on June 09, 2025.

Failure to Supervise

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