According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hoover (Hoover), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoover 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 Michael Swenson (Swenson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Swenson recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Douvadjian (Douvadjian), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Douvadjian 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 Frank Olender (Olender), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olender recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Distler (Distler), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Distler 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 Stephen Miller (Miller), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 Keith Laterrade (Laterrade), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Laterrade 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 Jason Bukowsky (Bukowsky), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Bukowsky recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Sabol (Sabol), currently associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sabol 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 Jonathan Strandlie (Strandlie), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Strandlie recommended unsuitable investments in different investment products including debt securities among other allegations and…