According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcwilliams (Mcwilliams), currently associated with Sei Investments Distribution CO., has at least one disclosable event. These events include one customer complaint, alleging that Mcwilliams 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 Kenneth Collins (Collins), previously associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 Luis Vivas Sardi (Vivas Sardi), currently associated with Miura Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vivas Sardi recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Kennedy (Kennedy), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kennedy 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 Lisa Turbeville (Turbeville), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Turbeville 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 Robyn Simons (Simons), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Ruth (Ruth), currently associated with Lenox Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruth 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 Carlos Alvarado (Alvarado), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alvarado recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sullivan Jr. (Sullivan Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan Jr. recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Snyder (Snyder), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Snyder recommended unsuitable investments in different investment products including debt securities among other…