According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 Amy Furuno (Furuno), currently associated with Lucid Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Furuno 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 Marc Cobb (Cobb), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Cobb 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 Glennon Cole (Cole), previously associated with Moloney Securities Co., INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Cole 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 Valery Oswald (Oswald), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oswald recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hugh Mcguire (Mcguire), previously associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcguire recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Starnes (Starnes), previously associated with Sa Stone Wealth Management INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Starnes recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Earls 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 Richard Panno (Panno), currently associated with Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Panno 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 Thomas Williams (Williams), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among…