According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abed Lulu (Lulu), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lulu 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 Andrew Corbman (Corbman), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Corbman 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 John Davis (Davis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 Dean Cudworth (Cudworth), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cudworth 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 Edmund Murphy (Murphy), previously associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murphy recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Carrillo (Carrillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrillo 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 James Mckinney (Mckinney), previously associated with Cetera Advisors LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Mckinney 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 Robert Turley (Turley), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 Lester Burroughs (Burroughs), previously associated with Lincoln Investment, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Burroughs recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Allen (Allen), previously associated with Woodbury Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Allen recommended unsuitable investments in different investment products including debt securities among other…