According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amanda Berry (Berry), previously associated with MML Investors Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Berry 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 Timothy Munley (Munley), currently associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munley 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 Graff (Graff), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graff 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 Prasanna Bhatia (Bhatia), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bhatia 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 Matthew Stahl (Stahl), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stahl recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Giovannelli (Giovannelli), previously associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Giovannelli concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Kunz (Kunz), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Theis (Theis), currently associated with Superior Financial Services, inc., has at least one disclosable event. These events include one customer complaint, alleging that Theis 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 Arthur Korsun (Korsun), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Korsun recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Covington (Covington), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Covington recommended unsuitable investments in different investment products including debt securities among other…