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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Krumholz (Krumholz), currently associated with Fortune Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Krumholz  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2026.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

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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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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,

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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.

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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.

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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 on March 19, 2026.

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

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