According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Ecker (Ecker), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker 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 Peter Goffin (Goffin), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Goffin 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 Ronald White (White), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that White recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Barnett (Barnett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnett 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 Mohammad Umar Shams (Shams), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shams recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katelyn Cordido Reese (Cordido Reese), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cordido Reese recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wilson Ii (Wilson Ii), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilson Ii recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Koelliker (Koelliker), currently associated with Kkr Capital Markets LLC, has at least one disclosable event. These events include one customer complaint, alleging that Koelliker 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 Christopher Norton (Norton), currently associated with Sutter Securities Incorporated / Boustead Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Meissner (Meissner), previously associated with Green Vista Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meissner recommended unsuitable investments in different investment products including debt securities among other…