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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ehud Gersten (Gersten), previously associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gersten 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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investments purchased in 2022\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Leyba (Leyba), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leyba 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 $59,621.22 on May 27, 2026.

Customer alleges unsuitable recommendation and misrepresentation regarding a variable annuity. Activity dates 1/13/25\\u20131/28/25.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Yee (Yee), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yee 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 $41,643.00 on May 19, 2026.

The customers allege that on or about August 18, 2017, the Registered Representative made an unsuitable investment recommendation, and alleged the Registered Representative failed to disclose the magnitude of loss in December of 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Copley (Copley), currently associated with Copley Alternative Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Copley 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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investment done in 2021\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcpherson (Mcpherson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 $250,000.00 on May 20, 2026.

Violation of Regulation Best Interest, Violation of FINRA Rules 2010, 2111, and 3110; negligence, negligent misrepresentations and omissions of material risks, common law fraud and fraudulent inducement, breach of fiduciary duty, Violations of the Georgia Uniform Securities Act, gross negligence. Investment placed in or around 7/31/2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Hershey (Hershey), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Hershey 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 $5,000.00 on May 19, 2026.

Client alleges misrepresentation in the April 2026 purchase of a $300,000.00 market-linked certificate of deposit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Tally (Tally), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tally 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 $11,326.89 on May 20, 2026.

Customer allege the Variable Annuity policies the purchased between June 2018 – June 2022 were not suitable recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2026.

The customer alleges he was misled when he purchased two variable annuities in February 2021 and July 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nadeau (Nadeau), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nadeau 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 $150,000.00 on May 20, 2026.

-By engaging in the conduct described above, Respondent failed to act in the best interest of its client\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Welcome (Welcome), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welcome 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 May 20, 2026.

Client alleges RR misappropriated funds in connection with marital assets held in their investment account.

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