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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Prem Suhalka (Suhalka), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Suhalka 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 April 14, 2026.

Claimant alleges she was not told she would have to pay $10,000 per year in premiums when she established her Variable Universal Life policy. Claimant seeks full surrender of her policy and refund of the $10,000 of premiums paid to date.

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2026.

Through an oral complaint, the client claimed that he was not completely informed of the impact of liquidating his portfolio upon transfer to TIAA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $1,815,302.40 on April 24, 2026.

From investment activity between April and October of 2022, claimant alleges the following: misrepresentation and omission of material facts, lack of due diligence, lack of suitability, negligence, breach of fiduciary duty, and failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rees Mason (Mason), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $1,200,000.00 on April 28, 2026.

Claimant alleges improper/unauthorized facilitation of a margin loan and misrepresentation of tax strategy.

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

FINRA BrokerCheck shows a pending customer complaint on April 29, 2026.

The client alleges that after deciding not to move forward with an annuity purchase. The advisor signed and submitted the annuity paperwork.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raper (Raper), currently associated with Wealthforge Securities, LLC / Wealthforge Distributors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raper 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 $200,000.00 on April 29, 2026.

From investment activity in August 2022, claimants allege the following: misrepresentation and omission of material facts, lack of due diligence, lack of suitability, negligence, breach of fiduciary duty, and failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Alexander (Alexander), previously associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 29, 2026.

Respondent Alexander failed to respond to FINRA requests for information.

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

FINRA BrokerCheck shows a pending customer complaint on April 22, 2026.

Claimant alleges that beginning in June 2025, Claimant was scammed and the registered representative failed to protect the Claimant by not reporting the suspicious activity the Claimant reported.

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

FINRA BrokerCheck shows a pending customer complaint on April 22, 2026.

Claimant alleges that beginning in June 2025, Claimant was scammed and the registered representative failed to protect the Claimant by not reporting the suspicious activity the Claimant reported.

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

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

Clients are alleging failure to conduct proper due diligence, breach of fiduciary duty, failure to supervise, and unsuitability of recommendations.

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