According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valente Orozco Villasenor (Orozco Villasenor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Orozco Villasenor recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Ennis (Ennis), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ennis 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 Jeremy Presley (Presley), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Presley 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 Faith Much (Much), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Much 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 Michael Hagan (Hagan), previously associated with E*trade Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hagan 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 Jian Cheng Li (Li), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyssa Schultz (Schultz), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 Yi Ping Chou (Chou), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chou 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 Bernard Jasmin (Jasmin), previously associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Jasmin concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mukomela (Mukomela), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukomela recommended unsuitable investments in different investment products including debt securities among other…