According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teddy Ezzell (Ezzell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ezzell 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 Elias (Elias), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 Maria Valido (Valido), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valido 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 Trevin Kent (Kent), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kent 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 Davin Carey (Carey), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Carey 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 Leslie Wood (Wood), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wood recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Taylor (Taylor), previously associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Matthew Beggs (Beggs), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Beggs 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 Barbara Leonard (Leonard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leonard 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 Victor Newman Ii (Newman Ii), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newman Ii recommended unsuitable investments in different investment products including debt securities…