According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mills (Mills), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 Lino Gutierrez (Gutierrez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Mcelreath (Mcelreath), currently associated with Foreside Fund Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcelreath 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 Patrick Lam (Lam), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lam 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 Alan Lowenfels (Lowenfels), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lowenfels 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 Blake Fellows (Fellows), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Fellows 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 Dechick (Dechick), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Dechick 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 Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Tunink 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 Todd Juenger (Juenger), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Juenger recommended unsuitable investments in different investment products including debt securities among other allegations…