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

FINRA BrokerCheck shows a settled customer complaint on August 26, 2025.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risk and potential for further income and growth.

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

FINRA BrokerCheck shows a settled customer complaint on August 25, 2025.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that the Representative misrepresented the risks and potential for future income and growth.

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Currently financial advisor Matthew Zagon (Zagon), currently employed by brokerage firm Cova Capital Partners LLC 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 $80,000.00 on August 25, 2025.

The client, [REDACTED], through his attorney, alleges that the RR, Matt Zagon, misrepresented the future performance of the Private Placement that [REDACTED] participated in, stating that Zagon told [REDACTED] the value of the investment in KI Health would increase from $ 0.12 to $ 5 by September.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $103,000.00 on August 26, 2025.

Fraud; Aiding and Abetting Breach of Fiduciary Duty; Aiding and Abetting Fraud; Breach of Fiduciary Duty. From 2008 to 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hulick (Hulick), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hulick 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 $500,000.00 on August 25, 2025.

Failure to supervise alleged unsuitable investment recommendation in a closed end income fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Block (Block), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Block 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 August 26, 2025.

Customer alleged misrepresentation related to the sale of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Beetz (Beetz), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beetz 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 $300,000.00 on August 27, 2025.

Unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Duncan (Duncan), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 August 27, 2025.

FA recommended an unsuitable investment strategy that concentrated his accounts and then recommended that Claimant hold those positions.

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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 2 disclosable events. These events include 2 customer complaints, 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 on August 27, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Valentine (Valentine), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Valentine 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 August 26, 2025.

TRUSTEE ALLEGES THAT UNAUTHORIZED TRANSACTIONS HAVE TAKEN PLACE IN THE ACCOUNT FROM DECEMBER 2023 THROUGH THE PRESENT

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