According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexis Crespo Perez (Crespo Perez), currently associated with Oriental Financial Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crespo Perez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Haddix (Haddix), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haddix 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 Philip Rulon (Rulon), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rulon 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 Arif Ahmed (Ahmed), currently associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ahmed 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 Jarrett Imamura (Imamura), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Imamura 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 Douglas Farris (Farris), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farris 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 Sullivan (Sullivan), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 Rowena Ruff (Ruff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ruff 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 John Howell (Howell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 Gregory Brown (Brown), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations…