According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Athas (Athas), previously associated with Sw Financial, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Athas concern allegations of high frequency…
Previously financial advisor James Kirchner (Kirchner), previously employed by brokerage firm Cabot Lodge Securities LLC has been subject to at least 5 disclosable events. These events include 4 customer complaints, one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Khezri (Khezri), previously associated with Network 1 Financial Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Khezri recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Queen (Queen), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Queen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Elsoffer (Elsoffer), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Elsoffer recommended unsuitable investments in different investment products including…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Scott Martinson (Martinson), previously associated with Arive Capital Markets, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Martinson concern allegations of high…
Previously financial advisor David Sladek (Sladek), previously employed by brokerage firm Ameriprise Financial Services, INC. 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Virgil Biggs (Biggs), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biggs 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 Hovany (Hovany), previously associated with Wintrust Investments LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hovany 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 James Hyland (Hyland), previously associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hyland recommended unsuitable investments in different investment products including debt securities among other…