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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Weeks (Weeks), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weeks 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 $7,686.00 on February 05, 2026.

Plaintiff alleges that the financial advisor made unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2026.

Client alleges breach of fiduciary duty with respect to investment strategy implented in his account that he believes was not agressive enough. 2023-2025

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joseph Lauzon (Lauzon) 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 Lauzon was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Lauzon’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $165,000.00 on February 04, 2026.

Allegations of misappropriation and unauthorized disbursements from a client account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Castro (Castro), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Castro 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 $84,000.00 on February 04, 2026.

Purchased bonds GWG; Castro acted as broker for GWG. Rolled bonds over after substantial payment and distribution stopped.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Stern (Stern), currently associated with Thinkequity LLC / Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 $10,364,391.00 on February 04, 2026.

Time frame: Unspecified. Claimant, a former registered person who is permanently barred from the securities industry, alleges certain investments he made between 7 and 13 years prior to the filing of the statement of claim, most, if not all, of which the Member firm he was affiliated with served as a selected dealer, were unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on February 05, 2026.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care.  Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

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

FINRA BrokerCheck shows a settled customer complaint on February 04, 2026.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI).  Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scot Regner (Regner), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Regner 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 $181,161.16 on February 05, 2026.

Customer reported fraudulent withdrawals from two accounts without her knowledge or notification

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Patterson (Patterson), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 $848,504.00 on February 10, 2026.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care.  Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

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

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

Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California’s ‘Blue Sky’ law, breach of fiduciary duty, breach of contract

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