Previously financial advisor Mark Vanvoorhees (Vanvoorhees), previously 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 Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 Heath Goldstein (Goldstein), previously associated with Vestech Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goldstein 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 Mark Kemp (Kemp), currently associated with Mcnally Financial Services Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 Christine Lambert (Lambert), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lambert recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ford Keeler (Keeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keeler 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 Timothy Brown (Brown), currently associated with Willow Cove Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mike Kilpatrick (Kilpatrick), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kilpatrick 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 Taddeo (Taddeo), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taddeo 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 Helen Rothlein (Rothlein), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rothlein recommended unsuitable investments in different investment products including debt securities among other allegations and…