Reg BI

There are Recent Customer Complaints with Broker Gary Liska in Firm Signature Estate Securities, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Liska (Liska), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Liska 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 March 16, 2026.

Allegations of unsuitability of options trading and failure to supervise.

Broker Markus Byrd in Kestra Investment Services, LLC Firm Has Customer Complaint

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Markus Byrd (Byrd), previously associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Byrd 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 $5,000.00 on March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker John Freiburger in Firm Kestra Investment Services, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Freiburger (Freiburger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Freiburger 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 $5,000.00 on March 16, 2026.

Claimant alleges the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker James Morrison in Firm Kestra Investment Services, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Morrison (Morrison), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 $5,000.00 on March 16, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

Broker Daniel Zlotnick in Osaic Wealth, INC. Firm Has Customer Complaint

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Zlotnick (Zlotnick), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zlotnick 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 $5,000.00 on March 16, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

Broker Harrison Fisher in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 17, 2026.

Client claims Financial Advisor reallocated positions without authorization, causing taxes on capital gains and losses on purchased securities. (10/08/2025 – 3/17/2026)

There are Recent Customer Complaints with Broker Adam Fort in Firm Northwestern Mutual Investment Services, LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Fort (Fort), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fort 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 $5,365.83 on March 17, 2026.

Customer alleges that the representative did not provide all information necessary to make an informed decision regarding a variable annuity, resulting in an unsuitable recommendation.

There are Recent Customer Complaints with Broker Eilier Teruel in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

May 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 20, 2026.

Client alleges misrepresentation of Unit Investment Trusts.

Broker Ryan Ishak in J.P. Morgan Securities LLC Firm Has Customer Complaint

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Ishak (Ishak), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ishak 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 $8,500.00 on March 18, 2026.

Customer alleges misrepresentation regarding corporate debt investment. Activity date March 15, 2025,

There are Recent Customer Complaints with Broker Jonathan Blount in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Blount (Blount), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blount 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 $192,000.00 on March 17, 2026.

Customers alleged the registered representative misrepresented the investments made in May of 2017 through October 2020 and made unsuitable investments based on their investment objectives and risk tolerance.