According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Raupp (Raupp), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raupp 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 Austin Fox (Fox), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 Nathan Alexander (Alexander), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alexander 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 Mary Dineen (Dineen), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dineen 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 Marna Hart (Hart), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hart 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 Joseph Kocsis (Kocsis), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kocsis 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 Kevin Hendrickson (Hendrickson), previously associated with N.i.s. Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hendrickson 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 Juvenal Gaspar (Gaspar), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaspar 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 Hui Chen (Chen), currently associated with Upmarket Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 Jason Wright (Wright), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright recommended unsuitable investments in different investment products including debt securities among other allegations…