According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Liu (Liu), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liu recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Eiland (Eiland), previously associated with Hd Vest Investment Services, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Eiland recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rainwater (Rainwater), previously associated with Arkadios Capital, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rainwater 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 Ted Ngo (Ngo), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ngo 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 Eric Jenson (Jenson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenson 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 Charles Bonilla (Bonilla), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bonilla recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kelly (Kelly), previously associated with Center Street Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Cruz (Cruz), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cruz recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hiles (Hiles), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hiles recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Norton (Norton), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton recommended unsuitable investments in different investment products including debt securities among other…