According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Rohrs (Rohrs), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rohrs 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 James Schwartz (Schwartz), previously associated with Joseph Gunnar & CO. LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Luftschein (Luftschein), previously associated with Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Luftschein recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker W. Parker (Parker), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Parker recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hittner (Hittner), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hittner 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 Jason Hicklen (Hicklen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hicklen 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 Scott Trueman (Trueman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trueman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Long (Long), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 Holly (Holly), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Holly recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Baaden (Baaden), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Baaden recommended unsuitable investments in different investment products including debt securities among other…