Investor Alert: Customer Complaint Filed Against Ronald Cole — May Recover Losses Customer Complaint Filed Against Ronald Cole. According to his BrokerCheck record, Ronald Stillman Cole is currently registered with Emerson Equity LLC, doing business as “Cole 1031 Solutions.” Ronald Stillman Cole CRD#: 1434325 In October 2025, a customer filed a complaint against Cole alleging breach of contract, negligence, gross negligence, breach …
Investor Alert: $5 Million Complaint Filed Against Taylor Armstrong — May Recover Losses
Investor Alert: $5 Million Complaint Filed Against Taylor Armstrong — May Recover Losses $5 Million Complaint Filed Against Taylor Armstrong. Claimant alleges accounts were mismanaged. According to FINRA BrokerCheck, a customer complaint seeking $5,000,000 in damages was recently filed against broker Taylor Wilson Armstrong (CRD 6984140). The complaint alleges that Armstrong recommended investments that were unsuitable for the customer’s financial …
Investor Alert: Customer Complaint Filed Against Brian Zimmerman — May Recover Losses
Investor Alert: Customer Complaint Filed Against Brian Zimmerman — May Recover Losses Customer Complaint Filed Against Brian Zimmerman — May Recover Losses According to FINRA BrokerCheck, registered representative Brian James Zimmerman (CRD 2401501) has a reportable customer complaint. The complaint, filed in 2025, alleges that Zimmerman recommended investments that were unsuitable for the client’s financial situation and investment objectives. BRIAN …
Investor Alert: Complaint Filed Against Ashley Quinn Romiti — May Recover Losses
Investor Alert: Complaint Filed Against Ashley Quinn Romiti — May Recover Losses Complaint Filed Against Ashley Quinn Romiti. Ashley Quinn Romiti Ashley Quinn Baskin CRD#: 7636987 If you invested in real-estate securities or DST offerings through Ashley Quinn Romiti (CRD 7636987), be aware that a customer complaint was recently filed. The FINRA customer complaint is alleging that Romiti recommended unsuitable DST …
Investor Alert: FINRA Customer Complaint Filed Against Austin Bowlin — May Recover Losses
Investor Alert: FINRA Customer Complaint Filed Against Austin Bowlin — May Recover Losses Customer Complaint Filed Against Austin Bowlin — May Recover Losses AUSTIN A BOWLIN CRD#: 5674142 Registered broker Austin A. Bowlin (CRD 5674142) — currently associated with Aurora Securities — has a customer complaint on his regulatory record alleging that he recommended unsuitable investments to a client. The …
Investor Alert: James Eugene Holmes III – Termination, Customer Complaint & FINRA Suspension
Investor Alert: James Eugene Holmes III – Termination, Customer Complaint & FINRA Suspension James Eugene Holmes III – Termination, Customer Complaint & FINRA Suspension Former Wells Fargo broker James Eugene Holmes III was terminated after allegations that he exercised unauthorized discretion in customer accounts. JAMES EUGENE HOLMES III CRD#: 2174697 Holmes now faces a pending customer complaint. The customer is seeking …
Investor Alert: Gustave “Gus” J. Schmidt Jr. – StraightPath Sales Under Review
Investor Alert: Gustave “Gus” J. Schmidt Jr. – StraightPath Sales Under Review Gustave “Gus” J. Schmidt Jr. (CRD 2709698) – StraightPath Sales Under Review Goodman & Nekvasil, P.A. is investigating potential claims on behalf of investors who purchased StraightPath Offerings through broker Gustave J. Schmidt Jr. (CRD 2709698). The broker is currently registered with INVESTMENT NETWORK, INC. in SMITHTOWN, NY. …
Investor Alert: FINRA Customer Complaint Filed Against Philip Hoang — May Recover Losses
Investor Alert: FINRA Customer Complaint Filed Against Philip Hoang Investors should be aware that FINRA BrokerCheck records reflect a recent customer complaint filed against Philip Hoang alleging significant investment losses. Philip Hoang (also known as Philip Thien Hoang, Philip Hoang, Thien P. Hoang, Thien Philip Hoang; CRD #5134140) is a broker and financial adviser for MORGAN STANLEY in Menlo Park, CA. …
Customer Alert: FINRA Suspends Broker Barry Buchholz – May Recover Investor Losses
Customer Alert: FINRA Suspends Broker Barry Buchholz – May Recover Investor Losses FINRA Suspends Broker Barry Buchholz BARRY LUTHER BUCHHOLZ BARRY LUTHER BUCHOLZ CRD#: 1583582 Customer Alert: FINRA Suspends Broker Barry Buchholz FINRA has suspended former LPL Financial broker Barry Luther Buchholz (CRD 1583582) after finding that he executed multiple unauthorized mutual fund trades in non-discretionary customer accounts. According to FINRA’s …
Investor Alert: Complaint Filed Against Ian Christopher McElreath — May Recover Losses
Investor Alert: Ian Christopher McElreath (CRD 4754189) Investors should be aware that Ian Christopher McElreath (CRD 4754189), formerly registered with Emerson Equity LLC and most recently with Foreside Fund Services, LLC, is the subject of a customer complaint filed in September 2025. According to publicly available regulatory sources, the complaint alleges that McElreath recommended unsuitable investments, including debt securities, and …