According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marna Hart (Hart), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hart 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 Kocsis (Kocsis), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kocsis recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Brian Bates (Bates), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Bates’s most…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hendrickson (Hendrickson), previously associated with N.i.s. Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hendrickson 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 Juvenal Gaspar (Gaspar), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaspar 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 Hui Chen (Chen), currently associated with Upmarket Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 Jason Wright (Wright), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 John Landers (Landers), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landers 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 Charles Zheng (Zheng), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zheng recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Alvarez (Alvarez), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alvarez recommended unsuitable investments in different investment products including debt securities among other…