According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Shepherd (Shepherd), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 Samuel Van Allen (Van Allen), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Allen recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Galan (Galan), currently associated with State Street Global Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galan recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Chin (Chin), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chin 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 Antonio Oliveira (Oliveira), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oliveira 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 Tweed (Tweed), previously associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tweed 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 Kevin Canfield (Canfield), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Canfield 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 Richard Wesselt (Wesselt), previously associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesselt 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 Dendy (Dendy), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dendy recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Ramos (Ramos), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ramos recommended unsuitable investments in different investment products including debt securities among other allegations…