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

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Sauve (Sauve), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sauve 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 $95,000.00 on September 08, 2025.

The customers allege that in 2020, the Registered Representative recommended unsuitable, high-risk, investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andreas Heinrich (Heinrich), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heinrich 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 $43,087.88 on October 03, 2025.

Customer alleges that unsuitable insurance products were sold as investments in December 2020. Allegations include a failure to disclose charges, expenses and fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cody Keller (Keller), previously associated with MML Investors Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Keller 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 $10,000.00 on October 07, 2025.

The complainant alleges that beginning in/and around August 2023, the registered representative made unauthorized financial decisions regarding her investments, and placed funds, without her knowledge or authorization into a whole life insurance policy. The complainant further alleges that if her money had been properly invested, she would have significant financial gains.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) 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 Darnell was employed by Bankers Life Securities, INC. at the time of the activity.  If you have been a victim of Darnell’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 $400,000.00 on September 30, 2025.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Rose (Rose), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $6,137.00 on September 29, 2025.

Customer alleges misrepresentation regarding managed account. Activity date 9.15.25

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2025.

Clients allege their financial advisor placed unauthorized trades in several accounts, which resulted in the loss of thousands of dollars of which they are seeking compensation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Garcia (Garcia), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $75,000.00 on September 29, 2025.

Claimant alleges Financial Professional misrepresented a REIT by not disclosing it was a risky, illiquid, complex, alternative investment product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Warren (Warren), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warren 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 $161,757.00 on September 30, 2025.

Customer alleges transactions were not in his best interest. Activity date May 5, 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mills (Mills), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 $180,340.23 on October 07, 2025.

Client alleges misrepresentation of return on portfolio for the year 2024 resulting in a loss of $180,340.23.

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