According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Homra (Homra), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Homra recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sam Paolini (Paolini), previously associated with Hornor, Townsend & Kent, INC., has at least one disclosable event. These events include one customer complaint, alleging that Paolini recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Garza (Garza), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garza recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Cooper (Cooper), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Franklin (Franklin), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Franklin recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Sumitro Pal (Pal) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Pal was employed by Morgan Stanley at…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mcguire (Mcguire), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcguire recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Mongie (Mongie), previously associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mongie recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Mcfaddin Moise (Moise), currently employed by brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brady Clar (Clar), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Clar recommended unsuitable investments in different investment products including debt securities among…