According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dan Nguyen (Nguyen), currently associated with Essex Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Nguyen concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Young (Young), previously associated with Arkadios Capital, 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 allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cox (Cox), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 Brad Bakken (Bakken), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bakken 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 Christopher Black (Black), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Black 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 Thomas Murray (Murray), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lewis (Lewis), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lewis 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 Stephen Alsdorf (Alsdorf), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alsdorf 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 Alexa Bridge (Bridge), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bridge 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 Tyler Swank (Swank), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Swank recommended unsuitable investments in different investment products including debt securities among other allegations and…