According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene Griffin (Griffin), currently associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Griffin 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 Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler 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 Mckinzie Valverdy (Valverdy), currently associated with Puente Servicios Financieros LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valverdy 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 Kevin Dauphinee (Dauphinee), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Dauphinee 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 Shane Johnson (Johnson), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 Evan Saterfiel (Saterfiel), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saterfiel 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 Victoria Bogner (Bogner), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bogner 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 Jeffrey K. Johnson (Johnson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lesley (Lesley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lesley 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 Eyal Farag (Farag), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farag recommended unsuitable investments in different investment products including debt securities among other allegations…