According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Johnston (Johnston), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Garth Lurvey (Lurvey), previously employed by Private Client Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lurvey’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Sutton (Sutton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sutton recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Bird (Bird), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bird 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 Kerry Pope (Pope), previously associated with Fidelity Distributors Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pope 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 Scott Seltzer (Seltzer), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seltzer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rice (Rice), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rice recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wagoner (Wagoner), currently associated with Fidelity Distributors Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagoner 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 Glen Riesterer (Riesterer), previously associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Riesterer 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 William Hayden (Hayden), previously associated with Texas Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayden recommended unsuitable investments in different investment products including debt securities among other allegations…