Cambridge Investment Research is the firm named in an oil and gas dispute on Eric Delaney's BrokerCheck report that settled on October 20, 2026. Delaney (CRD 2886715) is the broker on the disclosure. BrokerCheck lists the product as an oil and gas program.
A settlement from October 2026 is the newest entry on Fred Chen's BrokerCheck report, and a separate customer claim remains pending. Chen (CRD 5766069) is the broker on every disclosure, and each one names Emerson Equity as the firm. The pending claim is an unproven allegation, and no arbitrator has ruled on it.
Curtis Kroll (CRD 6487481) appears in a pending FINRA arbitration that seeks more than $10,000,000, according to a disclosure filed July 8, 2026. The disclosure names Wells Fargo Advisors as the firm. No arbitrator has ruled, and the allegations remain unproven.
A pending FINRA claim over stock, filed April 17, 2026, names Shawn Martin (CRD 4959418) and lists Citigroup as the firm. The claimant seeks $126,000. No arbitrator has ruled, and the allegations remain unproven.
A Wells Fargo Advisors customer dispute filed June 8, 2026 names Cameron Edmiston (CRD 6388552) in a pending FINRA arbitration. The claimant seeks more than $10,000,000. The allegations remain unproven, and Edmiston disputes them.
A pending FINRA claim filed March 19, 2026 names Julienne Riddell (CRD 5682274) over a Delaware Statutory Trust purchase. BrokerCheck lists McDermott Investment Services as the firm. The allegations remain unproven, and no arbitrator has ruled.
Stock accounts at RBC Capital Markets sit behind the customer disputes on the BrokerCheck report of Gregory Ricker (CRD 2545035). Each one settled, the most recent in December 2012.
Kelley Slaught (CRD 1126586) calls the pending customer claims on her BrokerCheck report "completely without merit." The products listed include non-traded REITs and a limited partnership, and each claim names Centaurus Financial as the firm. No arbitrator has ruled on any of them. Her report also lists settled disputes from 2024 and 2026.
A regulatory disclosure filed October 21, 2026 records FINRA findings against Alexis Aldaz (CRD 3058560). BrokerCheck names Edward Jones as the firm in the disclosure. The matter turns on a request for information that went unanswered.
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