According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Johnson (Johnson), currently associated with Piper Sandler & CO., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 Youssef Zohny (Zohny), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zohny 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 Sean Sullivan (Sullivan), previously associated with Sovereign Global Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 Tucker Johnson (Johnson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wick (Wick), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wick recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Srmek (Srmek), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Srmek 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 David Bains (Bains), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bains recommended unsuitable investments in different investment products including debt securities among…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Hill (Hill), currently employed by LPL Financial LLC 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), Hill’s most…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Alegria (Alegria), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Alegria 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 Brian Hamm (Hamm), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamm recommended unsuitable investments in different investment products including debt securities among other…