According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Benjamin Herritage (Herritage), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herritage 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 Ted Candella (Candella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Candella recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ron Phillips (Phillips), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 James Petrizzo (Petrizzo), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Petrizzo recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Callahan (Callahan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Callahan 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 Stewart Conover (Conover), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Conover 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 Jeffrey Krogh (Krogh), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Krogh recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Jolliff (Jolliff), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Jolliff 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 Frank Van Houten (Van Houten), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Van Houten recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hall (Hall), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hall recommended unsuitable investments in different investment products including debt securities among other allegations and…