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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wilson Ii (Wilson Ii), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilson Ii 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 $15,000.00 on October 03, 2025.

Client gave former financial advisor $15,000.00, total in two separate payments for an investment opportunity outside of Edward Jones and was promised returns.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan 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 October 03, 2025.

Breach of Contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; violations of securities statues; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; unjust enrichment; vicarious and joint and severable liability; violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Maushardt (Maushardt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maushardt 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 $40,000.00 on October 01, 2025.

Customer alleges she was sold an annuity that was not in her best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marco Oreamuno (Oreamuno), currently associated with Bolton Global Capital, has at least one disclosable event. These events include one customer complaint, alleging that Oreamuno 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 $775,000.00 on July 07, 2025.

The client claims Mr. Oreamuno concentrated a substantial portion of their investment accounts in a speculative penny stock. They also claim a breach of fiduciary duty by both the representative and Bolton. There is also an allegation of failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mandarino (Mandarino), currently associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Mandarino 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 $150,000.00 on June 04, 2025.

Claimant instructed Respondent that she wanted her investable assets to be invested conservatively in safe, income-producing investments. Instead, Respondent recommended a series of unsuitable, unrelated, high-risk, non-traditional investment products, including GWG Holdings.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kuga (Kuga), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kuga 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 $41,980.00 on October 02, 2025.

Client alleges that the Representative failed to educate her on a cheaper option for her account and did not earn the fees paid.

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

FINRA BrokerCheck shows a pending customer complaint on September 17, 2025.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grueninger (Grueninger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grueninger 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 $1,885,552.00 on October 08, 2025.

Time frame:   July 2018 to December 2019\, \, Allegations: Claimants' counsel alleges that Respondents allowed Claimants' former Certified Public Accountant to exceed the scope of his Power of Attorney resulting in his use of Claimants' line of credit resulting in losses.

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

FINRA BrokerCheck shows a pending customer complaint on October 06, 2025.

Claimants allege unsuitable recommendation of a portfolio of three DST investments., the sponsors of which were Crew/Versity and Nelson Partners.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Moses (Moses), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moses 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 $8,342.00 on June 25, 2025.

Client alleged that an uninvested cash balance in their account earned no return resulting in a loss of opportunity for growth.

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