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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Hao (Hao), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hao 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 $20,710.93 on March 11, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regarding fees and using misleading acts during sale. This matter is being reported consistent with FINRA rules pertaining to the reporting of certain written customer complaints. The company by this filing makes no allegations regarding the actions of the representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Patrick (Patrick), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $35,000.00 on March 10, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Welsh (Welsh), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh 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 $8,494.00 on March 10, 2025.

Customer alleges unsuitable investment recommendation. Activity dates 1.27.25 – 1.27.25.

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

FINRA BrokerCheck shows a pending customer complaint on March 07, 2025.

Trustee alleged breach of fiduciary duty, unsuitable recommendation, and misrepresentation of investment regarding an oil and gas limited partnership purchased eleven years ago.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Righter (Righter), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Righter 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 $1,300,000.00 on March 12, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – Jan 2021 to Jan 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Jerke (Jerke), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jerke 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 $200,000.00 on March 12, 2025.

POA for client was approached by FA Jerke for an ‘investment opportunity’ that could be lucrative, however he was in need of $200k. POA agreed to lend the funds to FA Jerke and he processed a transfer from client’s LPL account to his personal bank account. Funds were lost to a scammer/fraudster. LPL settled with client/POA to make the client whole.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Clark (Clark), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $24,432.00 on March 13, 2025.

The client alleges they were not informed of the tax consequences of selling Trane stock.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Bush (Bush), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $35,000.00 on March 10, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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Currently financial advisor Joanna Wang (Wang), currently employed by brokerage firm LPL Enterprise, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $495,000.00 on March 10, 2025.

Alleges between April 2013 and June 2015, rep engaged in misleading and fraudulent communications; unsuitable investment recommendation; unauthorized\, solicitation and selling away; failure to supervise and record keeping violations; undisclosed compensation and conflicts of interest; violations related to non-traded REIT sales.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po 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 $50,000.01 on March 12, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws;  violation of California Securities Act; violation of regulation BI; investment done in Feb. 2020

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