According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Mclaughlin (Mclaughlin), previously associated with Coastal Equities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Mclaughlin 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 William Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 Ryan Young (Young), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Young recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pauliks (Pauliks), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pauliks 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 Joshua Bitterman (Bitterman), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bitterman 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 Matthew Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Lara (Lara), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lara 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 Herbert Weith (Weith), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weith recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Drennan (Drennan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Drennan recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarred Collins (Collins), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Collins recommended unsuitable investments in different investment products including debt…