According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Fischman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Kavinsky (Kavinsky), previously associated with Supreme Alliance LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kavinsky 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 Matthew Stratman (Stratman), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stratman 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 Magruder (Magruder), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Magruder recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anita Lester (Lester), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lester recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Bradley (Bradley), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 Darryl Goldstein (Goldstein), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldstein 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 Gregory Cunningham (Cunningham), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cunningham recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 Enrique Lopez (Lopez), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Lopez recommended unsuitable investments in different investment products including debt securities among other allegations and…