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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glennon Cole (Cole), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cole 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 $84,000.00 on November 18, 2025.

Suitability/negligence. 2018-2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Whitaker 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 $375,000.00 on November 18, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, VIOLATION OF FEDERAL SECURITIES LAWS, MISREPRESENTATIONS, FAILURE TO SUPERVISE.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horak (Horak), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Horak 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 $25,000.00 on November 19, 2025.

Client alleged Investment in GWG L Bonds was unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on November 19, 2025.

Client alleges unsuitability, common law fraud, breach of contract, negligent supervision. Breach of fiduciary duty, negligence,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $651,709.00 on November 20, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND VIOLATION OF REG BI.

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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 on November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Kunz (Kunz), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 November 20, 2025.

Claimants allege that between December 2017 and September 2024, the representative recommended an unsuitable investment (Aspen House DST) that was inconsistent with their risk tolerance and objectives, and that he failed to conduct adequate due diligence or disclose risks. Claimants further allege misrepresentations, omissions, breach of fiduciary duty, negligence, and violations of Reg BI and California securities laws. Alleged damages are less than $500,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melvin Feldman (Feldman), currently associated with Gms Group, has at least one disclosable event. These events include one customer complaint, alleging that Feldman 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 $580,000.00 on November 17, 2025.

Customer alleges that certain investments made between September 2021 and October 2025 were high-risk and unsuitable. Customer alleges that there was a failure to act in the Trust’s best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzanne Cullen (Cullen), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cullen 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 $59,483.28 on December 04, 2025.

In April 2025, the client alleges the representative provided inaccurate information with material facts omitted, which hindered his ability to make an informed financial decision regarding an option transaction.

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

FINRA BrokerCheck shows a settled customer complaint on December 15, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES AND OPENING OF MANAGED ACCOUNT

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