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.