According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chay Lapin (Lapin), currently associated with Fnex Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lapin 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 Robert Anderson (Anderson), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 Gal Horev (Horev), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horev 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 Joseph Hobbs (Hobbs), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hobbs 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 Paul Raehpour (Raehpour), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Raehpour recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Sanchez (Sanchez), currently associated with First Southern, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanchez 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 George Merhoff (Merhoff), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Merhoff 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 Arthur Stevens (Stevens), currently associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 Jeffrey Shaver (Shaver), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Shaver 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 Cynthia Magner (Magner), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Magner recommended unsuitable investments in different investment products including debt securities among other…