According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Nathan Wells (Wells), currently associated with Cetera Wealth Services, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Wells concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Taylor (Taylor), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Robert Mills (Mills), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mills 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 Kirk Balin (Balin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Balin 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 Luley (Luley), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one regulatory event, alleging that Luley 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 Timothy Campbell (Campbell), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 Colleen Schuhmann (Schuhmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schuhmann 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 Jeffre Reininger (Reininger), currently associated with B.b. Graham & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reininger recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Puma (Puma), previously associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Puma concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Smith (Smith), currently associated with Edward Jones, 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 other allegations and…