According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Werner (Werner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Werner 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 Nicholas Schlagheck (Schlagheck), previously associated with Cape Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Schlagheck recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Lin Han (Han), currently employed by brokerage firm Landolt Securities, 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 alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Adams (Adams), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Adams recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carter (Carter), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Michael Francisco (Francisco), currently employed by brokerage firm Raymond James & Associates, 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 alternative investments…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Robinson (Robinson), currently associated with Piper Sandler & CO., has at least one disclosable event. These events include one customer complaint, alleging that Robinson recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Marilyn Hoosen (Hoosen), currently associated with Stifel Independent Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hoosen concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Leightey (Leightey), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Leightey recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Stephens (Stephens), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens recommended unsuitable investments in different investment products including debt securities among…