According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Girgis (Girgis), currently associated with Garden State Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Girgis concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Pratt (Pratt), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Pratt 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 Nicholas Taggart (Taggart), currently associated with Imst Distributors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taggart 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 Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 Brad Feldman (Feldman), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feldman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Castleberry (Castleberry), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Castleberry 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 Steven Sacoolas (Sacoolas), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Sacoolas 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 Kerri Patrick (Patrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 Daniel Mackle (Mackle), previously associated with Md Global Partners, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Mackle 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 Glen Viditz Ward (Viditz Ward), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Viditz Ward recommended unsuitable investments in different investment products including debt…