According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Garrity (Garrity), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Garrity 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 John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nole 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 Kenneth Davis (Davis), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 Peter Black (Black), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, 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 Solomon Tobal (Tobal), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tobal recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Azar recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Ortiz (Ortiz), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Ortiz recommended unsuitable investments in different investment products including debt securities among…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) 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 Darnell was employed by Bankers Life Securities,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Creason (Creason), currently associated with Metric Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Creason 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 Michele Pearson Tucker (Pearson Tucker), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pearson Tucker recommended unsuitable investments in different investment products including debt securities among…