According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Lowenfels (Lowenfels), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lowenfels 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 Blake Fellows (Fellows), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Fellows 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 Dechick (Dechick), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Dechick 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 Michael Sullivan (Sullivan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tunink (Tunink), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Tunink 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 Todd Juenger (Juenger), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Juenger 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 Stephen Horrell (Horrell), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horrell 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 Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 James Walesa (Walesa), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Walesa recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joachim Terzi (Terzi), currently associated with J.P. Morgan Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Terzi concern allegations of high frequency trading…