According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 James Seijas (Seijas), previously associated with Wells Fargo Clearing Services, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Seijas recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ondris (Ondris), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one regulatory, alleging that Ondris 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 Christopher Jacobi (Jacobi), currently associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Jacobi 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 Kenneth South (South), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that South 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 Jordan Mclendon (Mclendon), previously associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one tax lien, alleging that Mclendon recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ana Dimco (Dimco), previously associated with Columbia Management Investment Distributors, Inc., has at least one disclosable event. These events include one tax lien, alleging that Dimco recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cesar Casado (Casado), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one tax lien, alleging that Casado 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 Joshua Marino (Marino), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Marino 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 Dana Hawkins (Hawkins), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Hawkins recommended unsuitable investments in different investment products including debt securities…