According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kennedy (Kennedy), previously associated with Western International Securities, Inc., has at least 2 disclosable events. These events include 2 regulatory, alleging that Kennedy 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 Scott Jackson (Jackson), currently associated with J.w. Cole Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 Ryan Murphy (Murphy), previously associated with Truist Investment Services, Inc., has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Murphy recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Gattis (Gattis), currently associated with Principal Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gattis 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 Hebner (Hebner), previously associated with Moloney Securities Co., Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Hebner 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 Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barouti 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 Stephen Mellinger (Mellinger), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mellinger 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 Christine Gammill (Gammill), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gammill 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 Gnivecki (Gnivecki), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gnivecki 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 Carlton Fletcher (Fletcher), previously associated with Dinosaur Financial Group, L.l.c, has at least one disclosable event. These events include one regulatory, alleging that Fletcher recommended unsuitable investments in different investment products including debt securities among other allegations…