According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sunnie Lee (Lee), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 Ray Gallette (Gallette), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallette 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 Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 Jeffrey Higgins (Higgins), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 Vasilios Takos (Takos), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takos 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 David Karin (Karin), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Karin 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 Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 Julie Darrah (Darrah), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Darrah 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 Doherty (Doherty), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Doherty recommended unsuitable investments in different investment products including debt securities among other allegations and…