According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Hallick (Hallick), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hallick recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Matalon (Matalon), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Matalon 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 Russell Stola (Stola), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stola 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 Brian Stern (Stern), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 Mark Erwin (Erwin), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Erwin 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 Peters (Peters), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 Erkan Afacan (Afacan), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Afacan 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 Mark Stewart (Stewart), currently associated with M Stevens Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 Joel Johnson (Johnson), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 Bradley Ford (Ford), currently associated with Madison Avenue Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ford recommended unsuitable investments in different investment products including debt securities among other…