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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Brusca (Brusca), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brusca recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 19, 2025.

Customer alleges Financial Advisor failed to follow instructions October 14 2025 to October 19 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Furgerson (Furgerson), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Furgerson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Customers allege registered representative did not fully disclose investments, which customers claim they would not have approved if they were told.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ramos (Ramos), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Osvaldo Delgado (Delgado), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Delgado recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $80,000.00 on November 24, 2025.

Client alleges that an annuity she purchased was unsuitable and did not perform as expected.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on November 21, 2025.

Customer alleges poor performance and unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mahmoud Elawadi (Elawadi), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elawadi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,500,000.00 on November 25, 2025.

Attorney representing client claims the Financial Advisor falsely induced their client to invest funds into a business owned by the Financial Advisor. (11/1/2022-11/25/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Lubitz (Lubitz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lubitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on November 20, 2025.

Client alleges RR misrepresented the risk and potential return of alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Chaney (Chaney), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chaney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on November 24, 2025.

Claimants generally allege unsuitable investment recommendation, misrepresentations and omissions, breach of fiduciary duty and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Witkowski (Witkowski), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Witkowski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on November 14, 2025.

Claimant generally alleges over-concentration, misrepresentation, suitability, and breach of fiduciary duty.

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