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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Elio Rey (Rey), currently employed by Truist Investment Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rey’s most recent customer complaint alleges that Rey recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on October 14, 2025.

Client alleged that prior to selling him a structured product linked to gold and silver, the FA did not educate him on the liquidity risk. Moreover, client indicated he requested to invest in gold and silver and not a structured note.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Underwood (Underwood), previously associated with Cary Street Partners, has at least one disclosable event. These events include one customer complaint, alleging that Underwood 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 $1,875,581.20 on October 08, 2025.

Investment losses from aggressive trading including options, during the period June 2023 through May 2024.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Patrick Cusick (Cusick), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Cusick’s most recent customer complaint alleges that Cusick recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $22,000.00 on September 18, 2025.

Claimant alleges misrepresentation associated with the purchase of a structured note which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandeep Shrivastava (Shrivastava), currently associated with Tpeg Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shrivastava 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 $1,250,000.00 on October 13, 2025.

The client alleges he was drawn into several investments through statements by his registered representative that were materially false and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Czubek (Czubek), currently associated with Associated Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Czubek 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 $31,859.80 on September 30, 2025.

The client alleged that, following a meeting in May 2025 in which the parties reportedly agreed to change the investment strategy for the client’s variable annuity by updating the underlying asset allocation, the registered representative failed to implement the agreed-upon changes. The client further alleged that this failure was discovered in September 2025 during an account review and sought compensation for purported lost investment returns since May 2025, citing the market increase during that period and the delay in implementing the new strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Dimartini (Dimartini), previously associated with Altitude Capital Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dimartini 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 $1,500,000.00 on September 22, 2025.

Plaintiff alleges that the respondents misrepresented various investment opportunities to plaintiff.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vlad Uchenik (Uchenik), currently associated with Inx Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uchenik 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 $159,350.00 on September 25, 2025.

Customer alleges unsuitability, breach of contract and negligence on $3,500 worth of security tokens he purchased in April 2021 directly with INX Limited through an F1 offering , a company that was not affiliated with INX Securities, LLC (at the time called Openfinance Securities, LLC).

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anderson Ariza (Ariza), currently employed by Northern Trust Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ariza’s most recent customer complaint alleges that Ariza recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on September 12, 2025.

Written complaint that trust was recommended an unsuitable security. Trustees do not feel it was adequately disclosed that the bond was a structured note or what the associated risks of this product were. Complaint is pending continued negotiations with the trustees.

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

Respondents recommended risky products. Transaction Dates: 7/10/2022, 07/21/2022, 08/07/2022 08/27/2022, and 12/08/2022.

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

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

Client Alleges unsuitable and unmonitored strategy in their Advisory Retirement Accounts.

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