According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanford Simmons (Simmons), previously associated with Saxony Securities, Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Simmons recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Laffey (Laffey), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Laffey 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 Colton Jacob (Jacob), previously associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Jacob 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 Vincent Fuchs (Fuchs), previously associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Fuchs 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 Matthew Johnson (Johnson), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Caraveo (Caraveo), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caraveo recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Han (Han), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Han 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 Scott Hartman (Hartman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hartman 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 Nancy Flowers (Flowers), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flowers recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tania Perez pineiro (Perez pineiro), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez pineiro recommended unsuitable investments in different investment products including debt securities…