According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lentz (Lentz), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lentz 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 Craig Fishel (Fishel), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Fishel 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 Kavi Fulena (Fulena), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fulena recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lester Iseri (Iseri), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Iseri 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 Dan Holzer (Holzer), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holzer 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 Patrick Leon (Leon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leon 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 Curvin Miller (Miller), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 Laurie Ingwersen (Ingwersen), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Ingwersen 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 Robert Hetterscheidt (Hetterscheidt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hetterscheidt 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 Donald Laurence (Laurence), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laurence recommended unsuitable investments in different investment products including debt securities among…