According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Obraitis (Obraitis), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Obraitis 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 Robert Loeb (Loeb), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Loeb 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 John Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 Timothy Darragh (Darragh), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Darragh recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor Kevin Shields (Shields), currently employed by brokerage firm Foreside Fund Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Stephans (Stephans), previously associated with Osaic Fa, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephans recommended unsuitable investments in different investment products including debt securities among other allegations…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Yilun Liu (Liu), currently employed by Morgan Stanley 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), Liu’s most recent…
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 2 disclosable events. These events include 2 customer complaints, 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 April Pruitt (Pruitt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pruitt 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 Carrie Bellamy (Bellamy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bellamy recommended unsuitable investments in different investment products including debt securities among other allegations and…