According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megan Schneider (Schneider), currently associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schneider 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 Daryl Devillier (Devillier), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Devillier 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 Damian Baird (Baird), previously associated with Moors & Cabot, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Baird recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spector (Spector), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Spector 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 Mark Arthur (Arthur), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arthur 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 Kenneth Ramos (Ramos), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ramos recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shimshon Plotkin (Plotkin), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plotkin 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 Gayle Dilla (Dilla), currently associated with Nbc Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dilla 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 Craig Sturges (Sturges), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sturges 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 Rasbach (Rasbach), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rasbach recommended unsuitable investments in different investment products including debt securities among other…