According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Burk (Burk), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 Frank Chiodi (Chiodi), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chiodi 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 Kim Schardan (Schardan), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schardan 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 Jeffrey Cohen (Cohen), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one regulatory event, alleging that Cohen 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 Alex Mathis (Mathis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathis 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 Scott Miller (Miller), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 Marshall Parsons (Parsons), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Parsons 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 Robert Lyons (Lyons), currently associated with Gms Group, has at least one disclosable event. These events include one customer complaint, alleging that Lyons 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 Edward Hays (Hays), previously associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Hays 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 Henry Arellano (Arellano), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Arellano recommended unsuitable investments in different investment products including debt securities among other allegations and…