Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Calvert (Calvert), currently associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calvert 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 $13,280.00 on March 13, 2026.

Client alleges registered representative misrepresented tax implications, specifically regarding capital gains. Activity dates 08/2021-11/2021.

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

Claimaint alleges unsuitable $40,000 investment into gwg holdings in October 2017.

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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.

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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.

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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.

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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.

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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.

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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)

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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.

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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.

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