According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Young (Young), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Young recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pauliks (Pauliks), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pauliks 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 Joshua Bitterman (Bitterman), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bitterman 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 Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Lara (Lara), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lara 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 Herbert Weith (Weith), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weith recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drennan (Drennan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drennan recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarred Collins (Collins), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Collins recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rydell (Rydell), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rydell 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 Michael Fisher (Fisher), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fisher recommended unsuitable investments in different investment products including debt securities among other allegations…