According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Harris (Harris), previously associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harris 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 Steinberg (Steinberg), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Steinberg 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 Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC. / Mayhill Agency, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buckman recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Feliz (Feliz), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feliz 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 Scott Morrison (Morrison), previously associated with Stillpoint Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 Joshua Thalacker (Thalacker), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thalacker recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Barth (Barth), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Barth 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 William Casale (Casale), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Casale 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 Jessica Healy (Healy), previously associated with Metropolitan Capital Investment Banc, INC., has at least one disclosable event. These events include one customer complaint, alleging that Healy recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wedige (Wedige), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wedige recommended unsuitable investments in different investment products including debt securities among…