Lawrence Steinberg (CRD 2349876) faces a pending $1,175,546 customer claim over private placement sales at Cabin Securities, according to his BrokerCheck report. A customer filed the complaint on August 25, 2026, under docket number 26-01910, alleging sales of Regulation D private placements made from 2016 to 2019.

Markus Byrd (CRD 2177376) has settled customer claims and faces pending FINRA arbitration claims at Kestra Investment Services, according to his BrokerCheck report.

Michael Fisher (CRD 4056114) faces a pending customer claim alleging unsuitable trading in discretionary accounts, according to his BrokerCheck report. Claimants filed the claim on September 12, 2026, under docket number 26-01997, while Fisher was registered with Ameriprise Financial, and they seek compensatory damages of between $500,000 and $1,000,000.

James Walesa (CRD 1061209) has settled several customer disputes and faces pending arbitration claims, according to his FINRA BrokerCheck report. The disputes involve his work at Arkadios Capital and Triad Advisors.

Timothy Walsh (CRD 4666856) settled a customer dispute over his management of a client's portfolio, according to his BrokerCheck report. A customer filed the dispute on July 11, 2024, under docket number CV24-0353-173, while Walsh was registered with Xenith Financial Advisory Services.

William Sandeman (CRD 831384) consented to FINRA findings that he willfully violated Regulation Best Interest by recommending that 81 retail customers purchase and hold volatility-linked and non-traditional exchange-traded products as long-term investments, according to his BrokerCheck report. FINRA filed the case, numbered 2022073920901, on October 5, 2026, while Sandeman was registered with Wedbush Securities.

Timothy Tremblay (CRD 1201542) faces a pending $750,000 customer claim over variable annuity recommendations, according to his BrokerCheck report. A customer filed the claim on September 14, 2026, under docket number 26-01992, while Tremblay was registered with Centaurus Financial.

Robert Thompson (CRD 713539) consented to FINRA findings that he refused to provide information and documents requested during an investigation into whether he had put customer funds to his own use and had undisclosed outside business activities, according to his BrokerCheck report. FINRA filed the case, numbered 2025088064301, on October 1, 2026, while Thompson was registered with The O.N. Equity Sales Company.

Ethan Michael Elmore (CRD: 7263040), a securities broker based in San Francisco, California, disclosed a pending client complaint involving allegations of financial harm, according to the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Elmore has worked for Equitable Advisors LLC as a broker since September 28, 2020, and as a financial advisor since November 6, […]