Claim(s) Made Against Lyhen Fiallo: Claim Date: 8/4/2026 “Customers allege representative borrowed money from them which she failed to repay.”…
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Mark Donald Korona (CRD#4747579) and UBS FINANCIAL SERVICES INC.
Claim(s) Made Against Mark Donald Korona: Claim Date: 8/3/2026 “Time frame: 2020 to 2026 Claimant alleges UBS recommended overly risky…
Christopher Robert Emde (CRD#5377312) and REGULUS FINANCIAL GROUP, LLC
Claim(s) Made Against Christopher Robert Emde: Claim Date: 7/28/2026 “Customer alleges representative failed to adequately service and review an existing…
Juan G Piedrahita (CRD#5146922) and WELLS FARGO CLEARING SERVICES, LLC
Claim(s) Made Against Juan G Piedrahita: Claim Date: 7/24/2026 “Claimants allege account assets were transferred from a single account that…
Trevor Ryan Flota (CRD#6468726) and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Claim(s) Made Against Trevor Ryan Flota: Claim Date: 7/23/2026 “Customers allege that VUL policies were misrepresented as an investment instead…
Warren Dean Prehmus (CRD#1875927) and THE STRATEGIC FINANCIAL ALLIANCE, INC.
Claim(s) Made Against Warren Dean Prehmus: Claim Date: 7/22/2026 “Claimants allege that the respondent and registered representative breached their duties…
Andrew Michael Lawrence (CRD#4703567) and LPL FINANCIAL LLC
Claim(s) Made Against Andrew Michael Lawrence: Claim Date: 7/22/2026 “03/01/2023 – 03/02/2026 Client alleges that her advisor misrepresented three fixed…
Arleen-Grace Santos Vatuvei (CRD#6473556) and U.S. BANCORP ADVISORS, LLC
Claim(s) Made Against Arleen-Grace Santos Vatuvei: Claim Date: 7/22/2026 “Conservator alleges the conservatee‘s funds were wrongfully misappropriated.” This claim, as…
Brock Steven Jensen (CRD#6868137) and EDWARD JONES
Claim(s) Made Against Brock Steven Jensen: Claim Date: 7/22/2026 “Client alleges stock was sold without authorization.” This claim, as of…
Zachary Cuyler Green (CRD#5714566) and PURSHE KAPLAN STERLING INVESTMENTS
Claim(s) Made Against Zachary Cuyler Green: Claim Date: 7/21/2026 “Client alleges potential sell of equity positions in covered call strategy…
Bradford Wayne Brown (CRD#6586595)
Claim(s) Made Against Bradford Wayne Brown: Claim Date: 7/21/2026 “Customer alleges unsuitable recommendations related to Roth conversion of 401(k) assets”…
Chad Ryan Frantzen (CRD#4210741)
Claim(s) Made Against Chad Ryan Frantzen: Claim Date: 7/20/2026 “Customer alleges that between 2010-2015 the advisor used her funds for…