According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Shillin recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Reyes (Reyes), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes 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 Gregory Degraeve (Degraeve), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Degraeve recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryon Frisch (Frisch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 Kari March (March), previously associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that March 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 Gregory Ramirez (Ramirez), previously associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ramirez 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 Donald Shephard (Shephard), previously associated with First Command Financial Planning, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shephard recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Kemp (Kemp), currently associated with LPL Financial LLC, 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 allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 Donald Harrell (Harrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Harrell recommended unsuitable investments in different investment products including debt securities among other allegations and…