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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Abaunza (Abaunza), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abaunza 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 $12,000.00 on January 06, 2026.

Clients alleged they understood the advisory fees to be 1% for their three accounts; however, they were charged fees in excess of that amount from the inception of the accounts.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burks 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 January 07, 2026.

The customer alleges that in June of 2018 through 2023, the Registered Representative recommended and misrepresented unsuitable, illiquid, high-risk investments.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alon Rosin (Rosin), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosin 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 $985,000.00 on January 07, 2026.

Complainant, an Institutional Investor, alleges misrepresentations in connection with the profit and losses incurred in connection with options trading strategy hedge for Complainant’s equities portfolio. 6/1/2025 to 10/30/2025

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

FINRA BrokerCheck shows a pending customer complaint on January 06, 2026.

Time period: Unspecified. Claimants allege unsuitable investments, breach of fiduciary duty, and breach of contract.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mann (Mann), currently associated with Douglas Scott Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mann 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 December 16, 2025.

The lawsuit alleges that in late 2022, Patrick Dowling's company, Hill Country Oil & Gas entered into written contracts to sell to the plaintiffs interests in two prospects in Okfuskee County, Oklahoma, known as "Clearview" and "6 Shooter."  \, \, This lawsuit involves oil and gas industry level transactions made by Patrick Dowling and his company Hill Country Oil & Gas, LLC, which the plaintiffs allege were made with Mr. Dowling and his company in Oklahoma. Hill Country Oil & Gas, LLC is not related to Hill Country Exploration, Inc. However, the lawsuit names Jeffrey Mann, as well as Hill Country Exploration, Inc. as defendants.\, \, The lawsuit alleges that in late 2022, Mr. Dowling's company entered into written contracts to sell to the plaintiffs interests in two prospects in Okfuskee County, Oklahoma, known as "Clearview" and "6 Shooter." These transactions were fulfilled, drilled and produced accordingly, but the resulting production returns were considered personally disappointing by the plaintiffs. Pursuant to the original agreements, the defendants fulfilled their contractual obligations to the plaintiffs, but the defendants are still suing to recoup their initial investments.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Anthony (Anthony), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Anthony 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 $985,000.00 on January 07, 2026.

Complainant, an Institutional Investor, alleges misrepresentations in connection with the profit and losses incurred in connection with options trading strategy hedge for Complainant’s equities portfolio. 6/1/2025 to 10/30/2025

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Mason (Mason), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $175,000.00 on December 29, 2025.

Advisor presented investment opportunity away from the Firm which resulted in losses.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Arnold (Arnold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $400,000.00 on January 05, 2026.

Customers claim representative recommended investment strategy in non-transparent, non-traded, complex products that were not in their best interests, and further claim that they were not properly advised on the potential tax consequences on the rollover of an annuity.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Cobb (Cobb), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Cobb 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 $36,000.00 on January 05, 2026.

Customer alleges that registered representative made an unsuitable investment recommendation, and that she purchased an unsuitable security on the basis of that recommendation.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Stoltz (Stoltz), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stoltz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 02, 2026.

Customer alleges registered representative failed to fully disclose benefit details for a variable annuity

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