According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Ellison (Ellison), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ellison recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Vanlohuizen (Vanlohuizen), previously associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Vanlohuizen 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 Paul Witthauer (Witthauer), currently associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Witthauer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Waisner (Waisner), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waisner 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 Patty Dawson (Dawson), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dawson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Thomas (Thomas), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 Thomas Cassedy (Cassedy), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cassedy 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 James Montalto (Montalto), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montalto 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 Jason D’amelio (D’amelio), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that D’amelio recommended unsuitable investments in different investment products including debt securities among…