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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Roemmich (Roemmich), previously associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Roemmich 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 $1,735,000.00 on March 18, 2026.

Allegations include Breach of Fiduciary Duty; Aiding and Abetting; Negligent Misrepresentation; Failure to Supervise; Violation of Georgia Statutes. \, Date of activities 2022 – 2023.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Willis (Willis), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Willis 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 $8,000.00 on March 18, 2026.

Customer alleges a request to move funds into money market was not timely submitted, resulting in decreased account value due to market fluctuation.

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

FINRA BrokerCheck shows a pending customer complaint on March 18, 2026.

The client claims their Financial Advisor did not disclose that failure to meet the capital call requirements could put the client's invested principal at risk. The client demands a full return of their principal investment. (8/23/2024-11/14/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Armstrong (Armstrong), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Armstrong 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 March 23, 2026.

Customer alleges unsuitable investment recommendation in a real estate security.

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2026.

Client alleges misrepresentation related to a managed account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Lentz (Lentz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lentz 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 $20,000.00 on March 20, 2026.

Client alleges assets in IRA accounts were supposed to be moved into fixed income.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Randall (Randall) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Randall was employed by UBS Financial Services INC. at the time of the activity.  If you have been a victim of Randall’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $152,395.05 on March 24, 2026.

The client alleges misappropriation of funds from an IRA Rollover in 2020.

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

FINRA BrokerCheck shows a pending customer complaint on March 23, 2026.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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

FINRA BrokerCheck shows a pending customer complaint on March 23, 2026.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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

FINRA BrokerCheck shows a pending customer complaint on March 23, 2026.

The customer has alleged the surrender fees associated with 2 variable annuities were purchased in December 2025 were not fully explained.

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