According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Haviland (Haviland), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haviland 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 Christopher Barfoot (Barfoot), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barfoot 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 Suzanne Powell (Powell), previously associated with Wells Fargo Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 Jon Vinge (Vinge), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vinge 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 Ann Best (Best), currently associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Best recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Bostwick (Bostwick), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bostwick 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 Robert Newman (Newman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Newman 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 Arnetta Tolley (Tolley), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tolley 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 Luong Pham (Pham), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham 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 Douglas Magnuson (Magnuson), currently associated with Four Points Capital Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Magnuson recommended unsuitable investments in different investment products including debt securities among…