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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Bush (Bush), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $35,000.00 on March 10, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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Currently financial advisor Joanna Wang (Wang), currently employed by brokerage firm LPL Enterprise, 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 $495,000.00 on March 10, 2025.

Alleges between April 2013 and June 2015, rep engaged in misleading and fraudulent communications; unsuitable investment recommendation; unauthorized\, solicitation and selling away; failure to supervise and record keeping violations; undisclosed compensation and conflicts of interest; violations related to non-traded REIT sales.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po 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 $50,000.01 on March 12, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws;  violation of California Securities Act; violation of regulation BI; investment done in Feb. 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Geake (Geake), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Geake 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 March 10, 2025.

Failure to conduct due diligence on alternative investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Manasevit (Manasevit), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Manasevit 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 March 10, 2025.

Client alleges misrepresentation, suitability, and unauthorized trading.

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2025.

It is alleged by the complainant that in 2018, the producer recommended a complex financial plan including a series of phony investment schemes and tax benefits, which included premium financed life insurance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Darrah (Darrah), previously associated with Mutual Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Darrah 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 $749,200.00 on March 13, 2025.

Client alleges that the representative sold virtually all of the securities in held in client’s brokerage/investment advisory accounts and\, misappropriated $749,200 from the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Shaffer (Shaffer), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Shaffer 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 March 11, 2025.

Claimant alleges that rep misrepresented the material facts involved with the REIT investment. Claimant also alleges that the rep was negligent in managing claimant’s investment.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joyce Hinds (Hinds), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hinds  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Schweifel (Schweifel), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schweifel 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 March 10, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – June 2021 – Oct 2023

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