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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wittkopf (Wittkopf), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittkopf 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 Damian Baird (Baird), previously associated with Moors & Cabot, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baird 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 William Coffey (Coffey), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coffey recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Davis (Davis), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other…