According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Kichler (Kichler), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kichler 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 Fridtjov Markussen (Markussen), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Markussen 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 Steven Nielsen (Nielsen), currently associated with Centaurus Financial, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Nielsen 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 John Gutowsky (Gutowsky), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Gutowsky 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 Gregory Ritter (Ritter), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ritter 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 William Avery (Avery), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Avery 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 Fateh Sokkar (Sokkar), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sokkar 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 Jeremy Raverty (Raverty), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Raverty 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 Cindy Mo (Mo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mo 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 Torian Mitchell (Mitchell), previously associated with Pruco Securities, Llc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mitchell recommended unsuitable investments in different investment products including debt securities among other allegations…