According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Low (Low), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Low recommended unsuitable investments in different investment products including debt securities among other allegations and…
Currently financial advisor Robert Li (Li), currently employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rey Medina Velez (Medina Velez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina Velez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Penelope Donnelly (Donnelly), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Donnelly recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Matchett (Matchett), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matchett 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 David Stamper (Stamper), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stamper 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 Meyer (Meyer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 Leigh Einhorn (Einhorn), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Einhorn recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Alagna (Alagna), currently associated with Joseph Gunnar & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alagna recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Enders (Enders), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Enders recommended unsuitable investments in different investment products including debt securities among other allegations…