According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Iris Israel (Israel), previously associated with Oppenheimer & Co. Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Israel 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 Feng Chen (Chen), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Chen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Culver (Culver), currently associated with Cambridge Investment Research, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Culver 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 Timothy Van Dyken (Van Dyken), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Van dyken recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least 68 disclosable events. These events include 67 customer complaints, one tax lien, alleging that Fernando recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kostas Tsamos (Tsamos), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Tsamos 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 Shana Hudson (Hudson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hudson 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 Timothy Farris (Farris), currently associated with Cetera Advisors LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Farris 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 Eden (Eden), currently associated with David Lerner Associates, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Eden 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 Jeffrey Perryman (Perryman), previously associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 5 customer complaints, one regulatory, alleging that Perryman recommended unsuitable investments in different investment products including debt securities among…