According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wolfe (Wolfe), previously associated with Hamilton Grant LLC, has at least one disclosable event. These events include one regulatory event, alleging that Wolfe 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 Justin Proudfoot (Proudfoot), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Proudfoot 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 Winston Felix (Felix), previously associated with Edward Jones, has at least one disclosable event. These events include one regulatory event, alleging that Felix 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 Cole Brownell (Brownell), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brownell 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 Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bindra 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 Gerald Scott (Scott), currently associated with Raymond James (usa) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Scott 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 Jaime Sanchez Rivera (Sanchez Rivera), previously associated with First Southern Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Sanchez Rivera recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chi Mak (Mak), currently associated with Td Private Client Wealth LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mak recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Zwaan (Zwaan), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Zwaan 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 Jon Heischman (Heischman), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Heischman recommended unsuitable investments in different investment products including debt securities among other…