According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kolta (Kolta), previously associated with Worden Capital Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kolta 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 Brent Foster (Foster), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Foster 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 Tammy Higgins (Higgins), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Higgins 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 Van Meter (Van Meter), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Meter recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Watkins (Watkins), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Watkins 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 Mackenzie (Mackenzie), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mackenzie 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 Jennifer Ling (Ling), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ling 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 Alvin Miller (Miller), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 Barbara Fox (Fox), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 Wayne Stewart (Stewart), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stewart recommended unsuitable investments in different investment products including debt securities among other allegations…