Previously financial advisor Jeffrey Hallin (Hallin), previously employed by brokerage firm Cetera Advisor Networks LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lee Nordstrom (Nordstrom), previously associated with LPL Financial LLC, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nordstrom concern allegations of high…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Holmes (Holmes), previously associated with Concourse Financial Group Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 Mitchell (Mitchell), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mitchell recommended unsuitable investments in different investment products including debt…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mark Young (Young) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Young was employed by LPL Financial LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Reeve (Reeve), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reeve 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 John Hwee (Hwee), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hwee 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 Mclaughlin (Mclaughlin), previously associated with Coastal Equities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Mclaughlin 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 Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 Ryan Young (Young), currently associated with Raymond James Financial Services, INC., 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…