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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 $251,875.00 on February 19, 2026.

Breach of Contract, violation of securities laws and Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tolbert 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 $113,000.00 on February 18, 2026.

Customer alleges the Representative recommended the purchase of unsuitable, risky, illiquid, and complex unsecured debt securities through Representative's Registered Investment Adviser (RIA).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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 $480,000.00 on February 10, 2026.

Claimant alleges unsuitability, material misrepresentations, concealment, negligence, and breach of fiduciary duty in connection with an investment made in GWG L Bonds at his PRIOR firm.

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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 $3,009,237.88 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest (2019)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joannah Keller (Keller), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $8,124.00 on February 20, 2026.

Client alleges that rep misrepresented an unsuitable VUL as a requirement to obtain long term care coverage, but the long term care coverage never materialized.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zhi Ying Guan (Guan), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guan 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 February 19, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Johnson (Johnson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $6,548.04 on February 23, 2026.

Client alleged theft of funds from a Bank of America checking account on January 12, 2026

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orian Fridner (Fridner), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fridner 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 $120,000.00 on February 20, 2026.

Alleges investment was unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Centis (Centis), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Centis 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 $10,953,568.00 on February 25, 2026.

Customer alleges unsuitable investment recommendation in investment accounts. Activity dates April 2021 – March 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schiro 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 $41,459.67 on February 24, 2026.

The Firm received a written customer complaint alleging various claims, including but not limited to unsuitable investments.

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