According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Andrews (Andrews), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 Christopher Dunlevy (Dunlevy), previously associated with Lincoln Financial Advisors Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Dunlevy 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 Randy Holmeen (Holmeen), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Holmeen 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 Lisa Capobianco (Capobianco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Capobianco 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 Klein (Klein), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 Carolyn Valentine (Valentine), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valentine 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 Philipkosky (Philipkosky), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Philipkosky 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 Conrado Santiago (Santiago), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 Christopher Johnson (Johnson), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Raho (Raho), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Raho recommended unsuitable investments in different investment products including debt securities among other allegations and…