According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Solomon Tobal (Tobal), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tobal recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Azar recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Ortiz (Ortiz), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Ortiz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Creason (Creason), currently associated with Metric Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Creason 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 Michele Pearson Tucker (Pearson Tucker), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pearson Tucker recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Fischman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Kavinsky (Kavinsky), previously associated with Supreme Alliance LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kavinsky 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 Matthew Stratman (Stratman), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stratman 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 Michael Magruder (Magruder), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Magruder recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anita Lester (Lester), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lester recommended unsuitable investments in different investment products including debt…