According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Feutz (Feutz), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feutz 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 Christy Earhart (Earhart), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Earhart 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 Arthur Hoffman (Hoffman), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Hoffman 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 Neil Nissen (Nissen), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nissen 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 Norma Kresta (Kresta), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Kresta 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 Jamie Hargrave (Hargrave), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hargrave recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jared Kaplan (Kaplan), previously employed by Newedge Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kaplan’s most…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Springberg (Springberg), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Springberg 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 Lawrence Cervantes (Cervantes), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cervantes recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pollmann (Pollmann), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Pollmann recommended unsuitable investments in different investment products including debt securities among other allegations…