According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Wilburn (Wilburn), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilburn 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 Andrew Polis (Polis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Polis recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Busch (Busch), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Busch 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 Stephen Hecker (Hecker), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hecker 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 Kenyon Knight (Knight), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knight 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 Joseph Mittica (Mittica), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mittica 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 Michael Maggiore (Maggiore), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maggiore 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 Marc Drew (Drew), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Drew 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 Suzanne Charrin (Charrin), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Charrin 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 David Lefever (Lefever), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lefever recommended unsuitable investments in different investment products including debt securities among other allegations…