According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ali Mahlooji (Mahlooji), currently associated with Phx Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mahlooji 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 Cara Miller (Miller), previously associated with Proequities, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Miller 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 Henry Chang (Chang), currently associated with Laidlaw & Company (uk) Ltd., has at least one disclosable event. These events include one regulatory event, alleging that Chang 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 Burks (Burks), currently associated with Centaurus Financial, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Burks 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 Cain Kobert (Kobert), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kobert recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Rhodes (Rhodes), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhodes 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 Lisa Esteves-dixon (Esteves-dixon), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Esteves-dixon recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eileen Cure (Cure), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Cure 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 Roger Given (Given), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Given 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 Rawney Mcvaney (Mcvaney), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcvaney recommended unsuitable investments in different investment products including debt securities among other allegations…