According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jade Eagles (Eagles), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Eagles recommended unsuitable investments in different investment products including debt securities…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Howard Kavinsky (Kavinsky), previously associated with Supreme Alliance LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kavinsky concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stratman (Stratman), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stratman 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 Tony Tolene (Tolene), previously associated with Infinity Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Tolene 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 Eric Pirog (Pirog), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pirog recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vernell Peter Koyi (Peter Koyi), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Peter Koyi recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 Brett Rutherford (Rutherford), previously associated with Capital Investment Group, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Rutherford 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 Carl Demarco (Demarco), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Demarco recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Osgood (Osgood), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osgood recommended unsuitable investments in different investment products including debt securities among other…