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

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

Attorney representing client alleges Financial Advisor conducted unauthorized transactions into unsuitable and commission generating investments. (11/16/2023 – 3/27/2026)

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Currently financial advisor Eric Felsenfeld (Felsenfeld), currently employed by brokerage firm Ameriprise Financial Services, LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on March 30, 2026.

Claimant seeks $200,000\\u2013$300,000 relating to two separate matters: (1) a $58,000 GWG L Bond purchase that was rendered worthless by GWG’s subsequent bankruptcy; and (2) a leveraged private placement strategy that performed poorly following distribution suspensions and increased borrowing costs. Notably, the claimant was able to redeem one of the three private placements (Braemar), and the Spring Hills position, while currently suspended, has not been written off. The claim is filed by Iorio Law, a plaintiffs’ firm, and relies heavily on hindsight.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Finley (Finley), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Finley 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 $26,102.00 on March 27, 2026.

Customer alleges financial advisor made no recommendation from February 2023 through March 2026, expressing concerns regarding fiduciary oversight of uninvested funds during this timeframe.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 26, 2026.

Breach of Contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of state securities statutes, fraud and constructive fraud, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission and negligent misrepresentation/omission, unjust enrichment, common law, statutory claims and damages

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Barrows (Barrows), currently associated with Innovation Partners LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Barrows recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 27, 2026.

Respondent Barrows failed to pay arbitration fees of $6,727.14 assessed in FINRA Arbitration Case #22-01360.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Baker (Baker), currently associated with Colorado Financial Service Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $300,000.00 on March 25, 2026.

Customer alleges that the former registered representative recommended and implemented an investment strategy that was unsuitable and misrepresented associated risks and costs.

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2026.

Client alleges, misrepresentation with respect to fees and claims that recommendation to open managed account at morgan stanley was not made in their best interests

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mamais (Mamais), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mamais 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 $15,750.00 on March 30, 2026.

Customer alleges representative did not disclose fees associated with a variable annuity purchase.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hamilton (Hamilton), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $224,500.00 on March 26, 2026.

The customer alleges that in September 2019 through February 2021, the Registered Representative recommended unsuitable, high-risk, illiquid investments.

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2026.

The executor of the client’s estate alleged the financial professional failed to process a change of beneficiary prior to the death of the client.

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