According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Harvey (Harvey), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harvey 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 Kevin Fretz (Fretz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fretz 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 Michael Brickman (Brickman), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Brickman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ismael Reyes Retana (Reyes Retana), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Retana recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Fernandez (Fernandez), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 Michael Mueller (Mueller), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mueller 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 Stephen Swensen (Swensen), previously associated with J.w. Cole Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Swensen 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 Daniel Lundquist (Lundquist), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lundquist 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 William Harvey (Harvey), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harvey 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 Freiburger (Freiburger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Freiburger recommended unsuitable investments in different investment products including debt securities among other…