According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Hobert (Hobert), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hobert 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 Kim Kunz (Kunz), previously associated with Westpark Capital, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kunz recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Cooper (Cooper), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper 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 Cecile Gallot (Gallot), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallot 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 Kyle Geblein (Geblein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geblein 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 Eric Bencivenga (Bencivenga), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bencivenga 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 Matthew Hutchison (Hutchison), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hutchison 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 Diana Weaver (Weaver), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Weaver 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 Elinar Deghbashyan (Deghbashyan), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deghbashyan 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 Lara Shogren (Shogren), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shogren recommended unsuitable investments in different investment products including debt securities among other allegations…