According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Bernard (Bernard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 Fred Fryer (Fryer), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fryer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tenpenny (Tenpenny), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tenpenny 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 Chad Noble (Noble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noble 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 Peter Gobis (Gobis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gobis 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 Eric Singer (Singer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Singer 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 Rafael Williamson (Williamson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Williamson 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 Joseph Lauzon (Lauzon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lauzon 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 Sharon Pensabene (Pensabene), previously associated with Nylife Securities LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pensabene 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 Patrick Buttarazzi (Buttarazzi), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buttarazzi recommended unsuitable investments in different investment products including debt securities among…