According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Smith (Smith), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Johnson (Johnson), currently associated with Vanderbilt Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Johnson concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Westphal (Westphal), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westphal 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 Thomas Monahan (Monahan), currently associated with Bcg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Monahan 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 Michael Cox (Cox), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 Scherzer (Scherzer), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scherzer recommended unsuitable investments in different investment products including debt securities…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Dana Vietor (Vietor) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Vietor was employed by Cfd Investments, INC.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Saunders (Saunders), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders 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 George Mccaffrey (Mccaffrey), previously associated with Ntb Financial Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Mccaffrey 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 Neil Lerner (Lerner), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lerner recommended unsuitable investments in different investment products including debt securities among other allegations and…