According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mimi Park (Park), currently associated with U.S. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 Tiffany Keigley (Keigley), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Keigley 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 Shannon Roehrs (Roehrs), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roehrs recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcnicholas (Mcnicholas), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcnicholas 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 Robert Dechick (Dechick), currently associated with D.h. Hill Securities, Lllp, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Dechick 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 Russell Fieger (Fieger), currently associated with Colorado Financial Service Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fieger 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 Arkady Milgram (Milgram), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Milgram 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 Peter Po (Po), currently associated with Emerson Equity LLC, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Po 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 Samuel Butterworth (Butterworth), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Butterworth recommended unsuitable investments in different investment products including debt…
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 17 disclosable events. These events include 17 customer complaints, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other…