According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Hiss (Hiss), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hiss 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 David Rollins (Rollins), currently associated with Stonex Securities Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Rollins recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Maller (Maller), currently associated with Osaic Wealth, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Maller 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 Jimmy Driggers (Driggers), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Driggers 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 Donald Wells (Wells), currently associated with Realta Equities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wells 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 Raymond Smith (Smith), currently associated with Smith, Brown & Groover, Inc., has at least one disclosable event. These events include one regulatory, alleging that Smith 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 Christopher Guzman (Guzman), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guzman 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 Gabriel Cooperman (Cooperman), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cooperman 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 Travis Alexander (Alexander), previously associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Alexander recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Hayes (Hayes), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Hayes recommended unsuitable investments in different investment products…