According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Shaun Stein (Stein), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Stein concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Welsh (Welsh), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wells (Wells), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Wells 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 Steven Abraham (Abraham), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abraham recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chelsea Deng (Deng), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Deng 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 John Anderson (Anderson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 Alyce Weixler (Weixler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Weixler recommended unsuitable investments in different investment products including debt securities among other allegations and…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffrey Goldman (Goldman), currently employed by Chapin, Davis 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), Goldman’s most recent…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franz Warren (Warren), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warren 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 Peter Pace (Pace), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pace recommended unsuitable investments in different investment products including debt securities among other…