According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Boris Niko (Niko), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Niko recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Blake Levy (Levy), previously employed by brokerage firm Joseph Gunnar & CO. LLC has been subject to at least one disclosable event. These events include one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Hosein (Hosein), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hosein 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 Archibald Mcmichael (Mcmichael), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcmichael 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 Grant Birkley (Birkley), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkley 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 Ajay Verma (Verma), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Verma 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 Abrams (Abrams), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 Bret Schaefer (Schaefer), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schaefer 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 Anderson (Anderson), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Lee (Lee), currently associated with American Global Wealth Management, INC., 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…