Previously financial advisor James Cavalier (Cavalier), previously employed by brokerage firm Ameriprise Financial 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 Clifford Rosner (Rosner), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosner 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 Christopher Endres (Endres), currently associated with Arvest Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Endres 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 Jazlynn Torres (Torres), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Torres 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 Jesse Burns (Burns), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns 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 Javier Rojo (Rojo), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rojo 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 Adam Feierstein (Feierstein), previously associated with Proequities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feierstein 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 Randal Egan (Egan), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 Daniel Freeman (Freeman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Freeman recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Clifton Higgs (Higgs), currently associated with Securities Management & Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Higgs concern allegations of high frequency…