According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Cleveland (Cleveland), currently associated with Lasalle St Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Cleveland 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 Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Nelson 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 Mark Cohen (Cohen), previously associated with Bcg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 Tony Wang (Wang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wang recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Williams 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 Victor Raigoza (Raigoza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raigoza 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 Shawn Spellacy (Spellacy), currently associated with San Blas Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Spellacy 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 Ramon Haile (Haile), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haile 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 Patricia Fleming (Fleming), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fleming 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 Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Buckman recommended unsuitable investments in different investment products including debt securities among…