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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sneckner (Sneckner), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sneckner 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 $656,267.57 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyung Ruscitti (Ruscitti), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ruscitti 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 $2,500.00 on February 19, 2026.

Customer alleges he paid the RR for a financial plan that was not received. The customer has since requested a return of his funds, however the funds have not been received from the RR.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Zator (Zator), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zator 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 February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lodico (Lodico), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lodico 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 February 17, 2026.

Client claiming use of margin, unsuitable, unauthorized trades, Misrepresentation, Negligence & Breach of fiduciary duty from April – December 2005.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Forrest (Forrest), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Forrest 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 $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener 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 $150,000.00 on February 11, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative  engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Mcelreath (Mcelreath), currently associated with Metric Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcelreath 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 $416,844.69 on February 19, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Gougis (Gougis), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gougis 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 $698,000.00 on February 16, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest(2022)

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2026.

Time Frame: 2/5/2026 to 2/9/2026 \, \, What were the allegations against the individual? The Trustee alleges the Relationship Manager (Senior Wealth Strategy Associate) failed to execute trades as instructed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Clairmont (Clairmont), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clairmont 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 February 13, 2026.

Customer alleges misrepresentation of Trilinc Global Impact Funds purchased from financial professional in 2016.

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