According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Carrillo (Carrillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrillo 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 James Mckinney (Mckinney), previously associated with Cetera Advisors LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Mckinney 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 Robert Turley (Turley), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 Lester Burroughs (Burroughs), previously associated with Lincoln Investment, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Burroughs recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Allen (Allen), previously associated with Woodbury Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Allen 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 Dustin Chase (Chase), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chase 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 Rodrigo Arauz (Arauz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arauz 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 Deborah Smogor (Smogor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Smogor recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rauchegger (Rauchegger), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rauchegger 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 Yount (Yount), currently associated with Copper Financial, has at least one disclosable event. These events include one customer complaint, alleging that Yount recommended unsuitable investments in different investment products including debt securities among other allegations and…