Securities Lawyers Blog

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.

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.