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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gorham (Gorham), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorham 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 August 13, 2025.

The client alleged a mutual fund investment, made in September 2021, was outside her documented risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $444,000.00 on August 13, 2025.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, violations of NC Securities Act, constructive fraud, negligence, gross negligence, vicarious liability, and negligent supervision and retention.

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

FINRA BrokerCheck shows a settled customer complaint on August 11, 2025.

Through an oral complaint, the client claimed to have received inaccurate information about the tax liability of withdrawals from their variable annuities.

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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 $10,000.00 on August 11, 2025.

Claimants allege unsuitable recommendations of three Versity/Crew investments (Hayworth Tanglewood, DST and Versity Income Property Notes, LLC).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marinos Ballas (Ballas), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ballas 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 $50,000.00 on August 08, 2025.

Time frame: 2020 to present. Claimant alleges the product was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rimmel (Rimmel), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimmel 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 $7,000.00 on August 11, 2025.

Time Frame: January 14th, 2021 to August 11th, 2025\, \, What were the allegations against the individual? The Trustee alleges that the Financial Advisor sold unsuitable investments based on the client’s age and life expectancy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Sherman (Sherman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $23,750.00 on August 07, 2025.

The client alleged the advisor placed unauthorized trades. Allegation dates: 4/16/2025 – 7/15/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steve Cummings (Cummings), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cummings 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 $594,746.00 on August 09, 2025.

The client initially requested an accounting of a decline in account balance over ten years. Two days later the client wrote again stating he suspected either wrong doing, inept or illegal handling of the account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Freal (Freal), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Freal 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 $617,500.00 on August 12, 2025.

Plaintiff alleges that Mr. Freal, while employed by the Firm, took advantage of a now deceased trustee by having her declared incompetent and had himself installed as successor trustee. After Freal left the Firm, he allegedly sold real estate valued at $617,500 and transferred funds to himself and others through accounts held at Schwab.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joy Martinsen (Martinsen), currently associated with Nobles & Richards, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinsen 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 August 07, 2025.

The customer alleges that, the Registered Representative over concentrated assets in illiquid, speculative investments.

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