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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dougherty (Dougherty), previously associated with Voya Financial Advisors, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Dougherty 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 $306,830.24 on June 25, 2025.

Client alleges representative’s sales of insurance and advisory products was unsuitable and not aligned with client’s needs or goals.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Clackson (Clackson), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clackson 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 $450,000.00 on June 23, 2025.

The client alleged the variable annuity purchased in March 2024 was misrepresented.

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

FINRA BrokerCheck shows a pending customer complaint on July 01, 2025.

Client alleges unsuitable investment recommendations.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hoss Esmaeili (Esmaeili), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esmaeili 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 $439,114.00 on June 26, 2025.

Client alleges unauthorized sale and transfer of funds from her account resulting in loss.

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

FINRA BrokerCheck shows a pending customer complaint on July 01, 2025.

The client alleges misrepresentation of rates of Certificates of Deposit in 2023.

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Client alleges that they were told investment time horizon was 1 year and guaranteed return of principal upon maturity.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Hawke (Hawke), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Hawke 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 July 01, 2025.

Client alleges unsuitable recommendation of purchase of a fee simple investment in December of 2022.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Meloro (Meloro), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meloro 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 $85,000.00 on June 30, 2025.

Mark Meloro has been named in FINRA Dispute Resolution Services Arbitration Number 25-01273 The complainants are alleging that Mr. Meloro placed them in unsuitable investment, by failing to explain the investments in great enough detail

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

The clients allege they deposited $60,000 on April 4, 2025, with the expectation that the Financial Advisor would invest it for them but did not.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Goodwyn (Goodwyn), currently associated with Hedgebay Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodwyn 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 $1,000,000.00 on June 30, 2025.

Hudson Park Capital II LP (‘Hudson’) has filed a lawsuit in New York Supreme Court against South River Capital (‘South River’), its principal Jim Plack (‘Plack’), Hedgebay Securities LLC (Hedgebay’), and Hedgebay broker Russell Goodwyn (‘Goodwyn’), alleging breach of fiduciary duty under New York law  against Hedgebay and Goodwyn and alleging fraud and breach of contract against the other defendants. The allegations are in connection with a $2 million loan made by South River and Hudson in early 2020 to a third-party borrower, with South River lending $1.5million and Hudson lending $500,000. \, \, The borrower subsequently defaulted on the loan. The complaint alleges that defendants South River and Plack knew that the collateral used for the loan was pledged to another lender and therefore acted fraudulently and breached the loan contracts with Hudson. \, \, The complaint alleges that defendants Hedgebay and Goodwyn owed a fiduciary duty to investigate and analyze the potential loan to the borrower and to not introduce Hudson to fraudsters like South River and Plack. Hudson Park seeks from all of the defendants collectively over $1 million in compensatory damages and unspecified punitive damages and Plaintiff’s legal fees. \, \, Hedgebay and Goodwyn refutes the allegations against them and intends to vigorously defend the action.

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