According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trevor Rahn (Rahn), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rahn recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fitzgerald (Fitzgerald), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitzgerald 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 Mark Higginbotham (Higginbotham), previously associated with E*trade Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higginbotham 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 Wayne Rowlands (Rowlands), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rowlands recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jonah (Jonah), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jonah 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 Robert Pearlman (Pearlman), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Pearlman 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 Mark Carlson (Carlson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Carlson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hoffman (Hoffman), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 Barry Lemay (Lemay), previously associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lemay 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 Micah Judy (Judy), previously associated with W & s Brokerage Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Judy recommended unsuitable investments in different investment products…