According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Chase (Chase), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chase 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 Rodrigo Arauz (Arauz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arauz 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 Deborah Smogor (Smogor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Smogor recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rauchegger (Rauchegger), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rauchegger 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 Ronald Yount (Yount), currently associated with Copper Financial, has at least one disclosable event. These events include one customer complaint, alleging that Yount 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 Dustin Ward (Ward), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ward 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 Kevin Mccoy (Mccoy), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccoy 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 Khay Sung (Sung), previously associated with Asia Pacific Financial Management Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sung recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Garland (Garland), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garland 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 Phillips (Phillips), previously associated with Metlife Securities INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Phillips recommended unsuitable investments in different investment products including debt securities among other allegations…