According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kauzlarich (Kauzlarich), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kauzlarich 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 Chad Faulkenberry (Faulkenberry), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Faulkenberry recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Herrera (Herrera), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herrera 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 Shane Appelbaum (Appelbaum), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Appelbaum recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Barber (Barber), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 Christopher Avery (Avery), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Avery 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 Raymond Desrosiers (Desrosiers), currently associated with Eagle Point Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Desrosiers 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 Byers (Byers), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Byers 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 Catherine Bradford (Bradford), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradford 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 Gibson (Gibson), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gibson recommended unsuitable investments in different investment products including debt securities among other allegations…