According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Flores (Flores), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Flores recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Post (Post), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Post 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 Jordan Micklow (Micklow), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Micklow 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 Drake Beck (Beck), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Beck recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Flaningan (Flaningan), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Flaningan 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 Andrew Topka (Topka), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Topka recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Scott Brannan (Brannan), currently employed by brokerage firm Berthel, Fisher & Company Financial Services, INC. 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Boehm (Boehm), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boehm recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey White (White), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 Lawson (Lawson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson recommended unsuitable investments in different investment products including debt securities among other allegations…