Reg BI

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.

Broker Julienne Riddell in Mcdermott Investment 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 Julienne Riddell (Riddell), previously associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Riddell 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 $227,000.00 on March 19, 2026.

Claimants, experienced real estate investors, purchased a Delaware Statutory Trust in August 2022, as part of a tax advantaged 1031 exchanges of their prior real estate investments. Due to circumstances well beyond broker-dealer’s control, the DST is not performing to Claimants’ expectations. Accordingly, Claimant has made various allegations and legal claims related to suitability and due diligence with respect to the DST. Allegations also include breach of fiduciary duty, negligence, misrepresentations and omissions, failure to supervise and breach of contract.

Broker Mahmoud Elawadi 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 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 on March 19, 2026.

Claimants allege that in 2025, their FA recommended an unsuitable investment in a private business

Broker Shawnie Desmond in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawnie Desmond (Desmond), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Desmond recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Customer alleges omissions about tax consequences related to the recommendation to move investments to a managed portfolio.

There are Recent Customer Complaints with Broker Robert Quinlan in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Quinlan (Quinlan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quinlan 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 $1,700,000.00 on March 18, 2026.

Customers alleged that advisor embarked on a high risk strategy of concentrating account\, positions with equity purchases and call options. Customer states positions in account did not\, reflect investment objectives or risk tolerance. Portfolio sustained losses unacceptable to\, customers and in customers opinion, demands restitution. Advisor vehemently denies the\, allegations and intends to defend the case vigorously.

There are Recent Customer Complaints with Broker Pamela Linderman in Firm LPL Financial LLC

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Linderman (Linderman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Linderman 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 $110,000.00 on March 18, 2026.

Customer alleges failure to supervise the 2013 sale of a variable annuity, resulting in alleged misrepresentation and unsuitability, by the financial professional in her supervisory capacity.

There are Recent Customer Complaints with Broker Christopher Chlupp in Firm Robert W. Baird & CO. Incorporated

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Chlupp (Chlupp), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Chlupp 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 $175,608.30 on March 20, 2026.

Client alleges mismanagement of a portion of their retirement assets.

There are Recent Customer Complaints with Broker Joseph Amato in Firm Alexander Capital, L.p.

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $1,735,000.00 on March 18, 2026.

Allegations include Breach of Fiduciary Duty; Aiding and Abetting; Negligent Misrepresentation; Failure to Supervise; Violation of Georgia Statutes. \, Date of activities 2022 – 2023.

Broker Rocco Guidicipietro in Alexander Capital, L.p. Firm Has Customer Complaint

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro 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 $1,735,000.00 on March 18, 2026.

Allegations include Breach of Fiduciary Duty; Aiding and Abetting; Negligent Misrepresentation; Failure to Supervise; Violation of Georgia Statutes. \, Date of activities 2022 – 2023.