According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Kim (Kim), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 Dale Self (Self), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one regulatory event, alleging that Self 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 Paddor (Paddor), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Paddor 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 Lance Spencer (Spencer), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spencer 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 Allan Rosen (Rosen), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 Wolfe (Wolfe), previously associated with Hamilton Grant LLC, has at least one disclosable event. These events include one regulatory event, alleging that Wolfe 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 Justin Proudfoot (Proudfoot), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Proudfoot 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 Winston Felix (Felix), previously associated with Edward Jones, has at least one disclosable event. These events include one regulatory event, alleging that Felix 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 Cole Brownell (Brownell), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brownell 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 Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bindra recommended unsuitable investments in different investment products including debt securities among other allegations…