According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yao Tang (Tang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tang recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Coulter (Coulter), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Coulter 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 Joseph Pikulinski (Pikulinski), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pikulinski 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 John Wilson Ii (Wilson Ii), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilson Ii recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Puttroff (Puttroff), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puttroff 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 Jonathan Malinger (Malinger), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Malinger 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 William Laury (Laury), currently associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Laury 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 Jim Akasala (Akasala), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Akasala 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 William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Young 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 Steven Nielsen (Nielsen), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nielsen recommended unsuitable investments in different investment products including debt securities among other allegations…