According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Harvey (Harvey), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Harvey recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Drahos (Drahos), currently associated with Stirlingshire Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Drahos concern allegations of high frequency trading activity also…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heather Cagle (Cagle), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cagle 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 Taylor Leary (Leary), previously associated with Forta Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leary 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 Louis Scherschel (Scherschel), previously associated with St. Bernard Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scherschel recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Jennings (Jennings), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jennings 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 Daniel Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 Jung Lee (Lee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 Donna Hines (Hines), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hines recommended unsuitable investments in different investment products including debt securities…
Currently financial advisor William Poulter (Poulter), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…