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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.

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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.

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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.

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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.

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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.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Daniels (Daniels), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Daniels 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 $7,500.00 on March 18, 2026.

Inaccurate advice related to ROTH contributions over multiple years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandy Leff (Leff), currently associated with Carter, Terry & Company, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leff 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.

Suitability, FINRA Rule 2111, Regulation Best Interest\, Client alleges a stock he has owned for over 10 years is not suitable due to the recent decline in the security.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Mcdermott (Mcdermott), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcdermott 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 Timothy Fitzgerald (Fitzgerald), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fitzgerald 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 $14,000.00 on March 17, 2026.

Customer alleges Rep failed to inform her that rebalancing her portfolio would result in significant tax consequences.

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