According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Woods (Woods), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 Earl Winthrop (Winthrop), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Winthrop 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 Joyce Bloch (Bloch), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bloch 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 Ian Biggs (Biggs), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Biggs recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Alfaro (Alfaro), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfaro 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 Colleen Bracy (Bracy), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bracy 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 Scott Jory (Jory), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jory 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 Joshua Jenkins (Jenkins), previously associated with Northwestern Mutual Investment Services, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Jenkins recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lawler (Lawler), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lawler 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 Marizel Schiavetti (Schiavetti), currently associated with A.G.P. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schiavetti recommended unsuitable investments in different investment products including debt securities among…