According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wynn (Wynn), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wynn 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 Krishnamurthy Prasad (Prasad), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prasad 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 Timothy Sweeney (Sweeney), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sweeney 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 Moultrie (Moultrie), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moultrie 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 Richard Beckert (Beckert), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Beckert recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Saar (Saar), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Saar 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 Jonathan Way (Way), previously associated with Wedbush Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Way recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Molinari (Molinari), currently associated with American Veterans Group, Pbc, has at least one disclosable event. These events include one customer complaint, alleging that Molinari 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 Ernest Harris (Harris), previously associated with Union Capital Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Harris 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 Parker King (King), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that King recommended unsuitable investments in different investment products including debt securities among other allegations…