According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Stringer (Stringer), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stringer 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 Andrew Wilson (Wilson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 William Greenman (Greenman), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Greenman 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 David Somerville (Somerville), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Somerville recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Ickert (Ickert), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ickert 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 Angel Nunez (Nunez), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Nunez 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 Logan Smith (Smith), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 Yasmin Virani (Virani), previously associated with Canaccord Genuity Wealth Management (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Virani recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sapphira Chow (Chow), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chow 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 Ricardo Roche Maldonado (Roche Maldonado), currently associated with Banorte Securities International, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Roche Maldonado recommended unsuitable investments in different investment products including debt…