According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sidney Williams (Williams), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Guo (Guo), currently associated with Univest Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guo 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 Purdy (Purdy), currently associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Purdy 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 Frank Walter (Walter), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walter 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 Angelo Esposito (Esposito), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Esposito 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 Carrington Coulter (Coulter), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coulter recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Kapp (Kapp), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Kapp 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 David Strunc (Strunc), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Strunc 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 Nicholas Biddle (Biddle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Biddle 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 Antonio Oliveira (Oliveira), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oliveira recommended unsuitable investments in different investment products including debt securities among other…