According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Benedict (Benedict), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benedict 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 Andrew Andreotta (Andreotta), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andreotta 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 Jason Kimber (Kimber), currently associated with J.w. Cole Financial, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kimber 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 Kuldeep Madan (Madan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madan 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 Samuel Sutterfield (Sutterfield), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sutterfield 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 Lei Shen (Shen), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shen 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 Otto Bohon (Bohon), previously associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Bohon 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 Jesus Quezada (Quezada), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Quezada 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 Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stone recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garrett Moretz (Moretz), currently associated with Lifemark Securities Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Moretz recommended unsuitable investments in different investment products including debt securities among other allegations…