Feb 2, 2026

Edward Jones Financial Advisor Robert Lybbert Under Investigation For Alleged Hedge Fund Misrepresentation and Unsuitable Recommendations in FINRA Customer Complaints

Our firm is investigating Edward Jones financial advisor Robert Val Lybbert (CRD# 7451138) of Issaquah, Washington for potential investment-related misconduct. Financial Advisor’s Career History Based on FINRA BrokerCheck, Robert Val Lybbert has been registered in the securities industry since 2021 and is currently registered with Edward Jones. His reported registration/employment history includes: Edward Jones (CRD# 250) — Financial Advisor (07/2025–Present); branch listed in Issaquah, Washington Elite Wealth Management, Inc. (CRD# 132122) — Investment Adviser Representative (10/2021–07/2025) Lattice Capital Management LLC (CRD# 141860) — Investment Adviser Representative (10/2021–07/2022; 11/2023–01/2024)

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Feb 2, 2026

Concorde Investment Services, LLC Advisor Ehud Gersten Under Investigation For Alleged Misleading Real Estate Security Recommendations in FINRA Customer Complaints

Our firm is investigating Concorde Investment Services, LLC financial advisor Ehud N. Gersten (CRD# 7066119) of Ann Arbor, Michigan for potential investment-related misconduct. Financial Advisor’s Career History BrokerCheck reflects that Ehud N. Gersten has been registered with Concorde Investment Services, LLC since August 19, 2025, and has prior registrations with multiple broker-dealers and investment advisers. Reported securities industry registration history (selected): LightPath Capital, Inc. (B) — 03/2019 to 08/2019 Stax Capital (B) — 08/2019 to 02/2020 WealthForge Securities, LLC (B) — 02/2020 to 07/2020 Growth Capital Services, Inc. (B) — 07/2020 to 02/2021 Emerson Equity LLC (B) — 03/2021 to 07/2023 Arkadios Capital (B) — 07/2023 to 03/2025 Realta Equities, Inc. (B) — 03/2025 to 08/2025 Concorde Investment Services, LLC (B) — 08/2025 to Present

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Feb 2, 2026

Merrill Lynch, Pierce, Fenner & Smith Incorporated Financial Advisor Alexandre Maltez Under Investigation For Alleged Alternatives (GWG) Misrepresentation and Reg BI Violations (FINRA Complaint)

Our firm is investigating Merrill Lynch, Pierce, Fenner & Smith Incorporated financial advisor Alexandre Maltez (CRD# 6506116) of Winter Springs, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA registration and employment history, Alexandre Maltez has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated since October 2022 and previously was registered with firms including Newbridge Financial Services Group/Newbridge Securities (2019–2022), CoreCap (2018–2019), USA Financial Securities (2017–2018), and United Planners’ Financial Services (2015–2016).

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Feb 2, 2026

Edward Jones Financial Advisor Andrew Hall Under Investigation For Alleged Unsuitable Recommendations and Misrepresentation in FINRA Customer Complaints

Our firm is investigating Edward Jones financial advisor Andrew Steven Hall (CRD# 6133048) of Cheraw, South Carolina for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Andrew Steven Hall has been registered in the securities industry since at least 2012 and is currently registered with Edward Jones. His disclosed registration/employment history includes: Edward Jones (Financial Advisor) — 11/2016 to Present (branch: Cheraw, SC) Centaurus Financial, Inc. (Registered Representative) — 05/2015 to 11/2016 J.P. Turner & Company, L.L.C. — 12/2012 to 06/2015

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Feb 2, 2026

Wells Fargo Clearing Services, LLC Financial Advisor Simon Leung Under Investigation For Alleged Unsuitable Recommendations (FINRA Customer Complaints)

Our firm is investigating Wells Fargo Clearing Services, LLC financial advisor Simon Ga Jeung Leung (CRD# 5795988) of Woodstock, Georgia for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Simon Ga Jeung Leung’s securities-industry registration history includes: Chase Investment Services Corp. (07/2010 – 10/2010) (Alpharetta, GA) Chase Investment Services Corp. (05/2012 – 10/2012) (Alpharetta, GA) J.P. Morgan Securities LLC (10/2012 – 11/2014) (Woodstock, GA) Wells Fargo Advisors, LLC (11/2014 – 11/2016) (Woodstock, GA) Wells Fargo Clearing Services, LLC (11/2016 – Present) (Woodstock, GA) His reported employment history also reflects Wells Fargo Bank, N.A. (11/2014 – Present) (Woodstock, GA).

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Feb 1, 2026

Arkadios Capital Financial Advisor Jason Douglas Stone Under Investigation For Alleged Unsuitable Alternative Investment Recommendations Following FINRA Customer Complaints

Our firm is investigating Arkadios Capital financial advisor Jason Douglas Stone (CRD# 5455271) of Orange, California for potential investment-related misconduct. Financial Advisor’s Career History According to BrokerCheck, Jason Douglas Stone’s registration and employment history includes: Ameriprise Financial Services, Inc. (B/IA) — Long Beach, CA (01/2008–08/2013) J.W. Cole Financial, Inc. (B) — Orange, CA (08/2013–12/2014) J. W. Cole Advisors, Inc. (IA) — Orange, CA (01/2014–12/2014) Crown Capital Securities, L.P. (B/IA) — Orange, CA (01/2015–03/2024; IA listed 09/2015–03/2024) Stone Hatcher Financial (IA) — Anaheim, CA (04/2018–06/2019) Arkadios Capital (B) — Registered Representative (03/2024–Present) BrokerCheck also reflects investment-related “other business” activity tied

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Feb 1, 2026

Kalos Capital, Inc. Financial Advisor Thomas Rauchegger Under Investigation For Alleged Unsuitable Recommendations in FINRA Complaints

Our firm is investigating Kalos Capital, Inc. registered representative and investment adviser representative Thomas Michael Rauchegger (CRD# 5156496) of Alpharetta, Georgia for potential investment-related misconduct. Financial Advisor’s Career History FINRA BrokerCheck reflects that Rauchegger is not currently registered, and that he was previously registered with Kalos Capital, Inc. from January 2012 through October 2022 (branch listed as Maitland, Florida). Within the last 10 years of employment history reported on Form U4, BrokerCheck lists: Kalos Management, Inc. — Investment Adviser Representative (reported as 02/2013–Present) in Alpharetta, GA Kalos Capital, Inc. — Registered Representative (reported as 12/2011–Present) in Alpharetta, GA Cramer & Rauchegger, Inc. — Vice President (reported as 05/2006–Present) in Maitland, FL BrokerCheck also lists outside business activities including Cramer & Rauchegger (life i

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Feb 1, 2026

United Planners’ Financial Services of America Advisor Aaron Pierce Sevigny Under Investigation For Alleged Unsuitable Alternative Investment Recommendations, FINRA Complaints

Our firm is investigating United Planners’ Financial Services of America financial advisor and registered broker Aaron Pierce Sevigny (CRD# 4314368) of Bonita Springs, Florida for potential investment-related misconduct. Financial Advisor’s Career History Based on the BrokerCheck report, Aaron Pierce Sevigny’s securities-industry registration history includes: United Planners’ Financial Services of America A Limited Partner (CRD# 20804) — Registered Representative / Investment Adviser Representative: 08/2006–Present (registered with the firm since 08/21/2006 as an IA and 08/25/2006 as a broker); branch listed in Bonita Springs, FL. Financial Advisory Consultants, LLC (CRD# 122629) — Investment Adviser Representative: 06/2006–08/2006; branch listed in Naples, FL. Triad Advisors, Inc. (CRD# 25803) — Registered Representative: 08/2004–08/2006; branch listed in Naples, FL. MONY Securities Corporation (CRD# 4386) — Registered Representative: 10/2003–08/2004; branch listed in New York, NY. BrokerCheck also reflects outside business activities, including Acadia Wealth Management, LLC (listed as President & CEO/DBA for marketing purposes) and other ventures.

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Feb 1, 2026

Oppenheimer & Co. Inc. Financial Advisor Anthony D’Ascoli Under Investigation For Alleged Unsuitable Investment Recommendations and Unauthorized Trading (FINRA Complaints)

Our firm is investigating Oppenheimer & Co. Inc. financial advisor and stockbroker Anthony D’Ascoli (CRD# 4133420) of Delray Beach, Florida for potential investment-related misconduct. Financial Advisor’s Career History According to his FINRA BrokerCheck report, Anthony D’Ascoli has been registered with Oppenheimer & Co. Inc. since September 2013 (Delray Beach, Florida). Prior to Oppenheimer, his registration history includes UBS Financial Services Inc. (June 2009 to July 2013) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (approximately April 2000/March 2001 through June 2009).

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Feb 1, 2026

Arete Wealth Management, LLC Advisor Jason Lamb Under Investigation For Alleged Unsuitable Recommendations and FINRA Complaint

Our firm is investigating Arete Wealth Management, LLC financial advisor Jason P. Lamb (CRD# 3248356) of Nashville, Tennessee for potential investment-related misconduct. Financial Advisor’s Career History Based on his FINRA BrokerCheck report, Jason P. Lamb has been registered in the securities industry with the following firms: Arete Wealth Management, LLC (02/2021–Present); Center Street Securities, Inc. (06/2009–12/2023); ProEquities, Inc. (09/2001–03/2009); and American Express Financial Advisors Inc. (11/1999–08/2001).

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