According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christopher Dallas (Dallas), currently associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dallas concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Chadwick Carrick (Carrick), currently associated with the Jeffrey Matthews Financial Group, L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Carrick concern allegations of high…
For many American retirees, the dream of a secure retirement is built on decades of prudent saving, workplace retirement accounts, and a belief that financial advice from licensed professionals will protect their nest egg. But a recent article in The Guardian highlights a troubling trend that may undermine that belief…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Timothy Bartelt (Bartelt), currently associated with Raymond James Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Bartelt concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Sloane (Sloane), previously associated with Westpark Capital, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Sloane concern allegations of high…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Griffin (Griffin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Griffin concern allegations of…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Chakos (Chakos), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Chakos concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Vincent Mangone (Mangone), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Mangone concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Meyer (Meyer), currently associated with IBN Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Meyer concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Mcgowan (Mcgowan), previously associated with Benchmark Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mcgowan concern allegations of high frequency trading activity…