According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilson Saville (Saville), currently associated with Barrett & Company, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Saville 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 Charles White (White), previously associated with Barrett & Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that White 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 Mitchell (Mitchell), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Mitchell 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 Fei Chen (Chen), previously associated with Waddell & Reed, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 Patrick Chirchirillo (Chirchirillo), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chirchirillo 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 Paterson (Paterson), previously associated with Truist Investment Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Paterson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Hull (Hull), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hull 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 Chad Mackland (Mackland), previously associated with Lion Street Financial, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Mackland recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Harris (Harris), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Harris recommended unsuitable investments in different investment products including debt securities among other allegations and…
Previously financial advisor Gloria Lakritz (Lakritz), previously employed by brokerage firm J.w. Cole Financial, 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…