According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Naomi Johnson (Johnson), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 Hamilton (Hamilton), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 David Reo (Reo), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reo 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 Howard Jones (Jones), currently associated with Cetera Investment Services LLC, 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 other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Hill (Hill), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 Donatelli (Donatelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donatelli 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 Bruce Sandry (Sandry), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sandry 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 Fox (Fox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 Mark Beloyan (Beloyan), previously associated with Tradespot Markets INC., has at least one disclosable event. These events include one regulatory event, alleging that Beloyan 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 Patrick Gilbride (Gilbride), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gilbride recommended unsuitable investments in different investment products including debt securities among other allegations and…