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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Williams (Williams), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 Jim Lund (Lund), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lund 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 Guy Presutti (Presutti), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Presutti 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 Steven Reznik (Reznik), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reznik recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Jones (Jones), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Latte (Latte), currently associated with Vienna Capital Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Latte 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 Matthew Ross (Ross), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ross recommended unsuitable investments in different investment products including debt securities among other allegations and…