According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Yanagihara (Yanagihara), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yanagihara 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 David Wells (Wells), currently associated with B.b. Graham & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wells recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Teboda (Teboda), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Teboda 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 Michael Shonsey (Shonsey), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Shonsey recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Keith Kelt (Kelt), currently employed by brokerage firm Kovack Securities 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 as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schmidt (Schmidt), currently associated with Realized Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmidt 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 Peter Chernin (Chernin), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chernin 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 Lanita Nelson (Nelson), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 William Kastelz (Kastelz), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kastelz 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 Narongdej Jaroensabphayanont (Jaroensabphayanont), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one regulatory event, alleging that Jaroensabphayanont recommended unsuitable investments in different investment products including debt securities among other…