According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Christensen (Christensen), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Christensen 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 Joseph Shultz (Shultz), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mueller (Mueller), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mueller recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Jason Valavanis (Valavanis), currently employed by brokerage firm J.w. Cole Financial, 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 alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cantel (Cantel), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cantel recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Horace Barker (Barker), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 Thomas Kieffer (Kieffer), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kieffer 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 Braun (Braun), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braun 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 Timothy Hucks (Hucks), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hucks 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 Chester Donnally Jr. (Donnally Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Donnally Jr. recommended unsuitable investments in different investment products including debt…