According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Sep (Sep), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sep 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 Elizabeth Fitzwater (Fitzwater), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitzwater 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 Brian Court (Court), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Court recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hancock (Hancock), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hancock 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 Kim Monchik (Monchik), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monchik 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 Leila Larijani (Larijani), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Larijani 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 Scott D. Jones (Jones), currently associated with UBS Financial Services INC., 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Parviz Pourfarid (Pourfarid), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pourfarid 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 John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nole 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 Nicholas Saunders (Saunders), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders recommended unsuitable investments in different investment products including debt securities among other allegations…