According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Cuervo (Cuervo), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cuervo recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Donald Fowler (Fowler), previously associated with Worden Capital Management LLC, has been subject to at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events. Several of those complaints against Fowler concern allegations of…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Callaghan (Callaghan), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaghan recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Kring (Kring), previously associated with Triad Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kring 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 Arben Gecaj (Gecaj), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gecaj 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 Marcus Henderson (Henderson), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 Jamie Cooke (Cooke), previously associated with Voya Financial Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cooke 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 Kimberly Kennedy (Kennedy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kennedy 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 Michael Gunter (Gunter), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gunter recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Max Larsen (Larsen), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larsen recommended unsuitable investments in different investment products including debt securities among other allegations…