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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Breach of fiduciary duty; Violation of FINRA/NYSE rules, breach of contract and negligence; Violation of securities laws and other securities laws, acts and regulations; fraud and fraudulent inducement to hold investment; unjust enrichment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Baldini (Baldini), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baldini 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 $643,509.94 on January 27, 2026.

The claim alleges control person liability with respect to an investment which it indicates occurred on 11/3/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mckeever (Mckeever), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckeever 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Killeen (Killeen), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Killeen 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 January 27, 2026.

Claimants allege breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act, and Rule 10B-5 of the Securities and Exchange Commission, and violation of the California Corporations Code.

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Claimant alleges, inter alia, unsuitability with respect to an investment strategy involving private equity and an LAL –  Aug 2015 to Feb 2019.

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Claimant alleges that during an unspecified time period, the FA invested his assets in unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Client’s attorney alleges, inter alia, that the client did not authorize the purchase of an alternative investment in his account  2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Drueke (Drueke), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drueke 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 $136,328.15 on January 27, 2026.

Customer alleges registered representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Cheney (Cheney), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cheney 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 $5,000.00 on January 27, 2026.

Client alleges the RR misrepresented the terms of a variable life insurance policy purchased in 1993.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kade Orsburn (Orsburn), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Orsburn 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 $174,204.00 on January 30, 2026.

Former client alleges unsuitable advice and breach of fiduciary duty.

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