According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Velez (Velez), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Velez recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Wagstaff (Wagstaff), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagstaff 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 Bradley Meyers (Meyers), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyers recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeremiah Roman (Roman) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Roman was employed by PFS Investments INC.…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Nathan Wells (Wells), currently associated with Cetera Wealth Services, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Wells concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Taylor (Taylor), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Robert Mills (Mills), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 Kirk Balin (Balin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Balin 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 Luley (Luley), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one regulatory event, alleging that Luley 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 Campbell (Campbell), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Campbell recommended unsuitable investments in different investment products including debt securities among other allegations…