According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Trease (Trease), previously associated with Sapere Wealth Creation, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trease 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 Jeffrey Smith (Smith), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Lang (Lang), currently associated with Stephens, has at least one disclosable event. These events include one customer complaint, alleging that Lang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Krause (Krause), previously associated with Kw Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Krause 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 Amy Tucker (Tucker), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tucker 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 Hall (Hall), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 Brian Hooks (Hooks), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hooks 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 David Ridenour (Ridenour), previously associated with Bok Financial Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ridenour 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 Crocker (Crocker), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crocker 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 Travis Hudson (Hudson), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hudson recommended unsuitable investments in different investment products including debt securities among other allegations…