According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Robertson (Robertson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 Frank Vecchio (Vecchio), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one tax lien, alleging that Vecchio 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 Lance Williamson (Williamson), previously associated with Bankers Life Securities, 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 Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 Joel Barjenbruch (Barjenbruch), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barjenbruch 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 Mark Fuhr (Fuhr), previously associated with Pruco Securities, Llc., has at least one disclosable event. These events include one customer complaint, alleging that Fuhr 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 April Wilson (Wilson), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 Lawrence Greenfield (Greenfield), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Greenfield 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 Kenneth Wingerter (Wingerter), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wingerter 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 Baum (Baum), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Baum recommended unsuitable investments in different investment products including debt securities among other allegations…