According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Barfield (Barfield), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Barfield 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 Michael Young (Young), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Young 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 Rodney Ferguson (Ferguson), previously associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Ferguson 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 Duncan Maceachern (Maceachern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maceachern 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 Douglas Schmitz (Schmitz), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Schmitz 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 Joseph Behrend (Behrend), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Behrend 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 Craig Fredrickson (Fredrickson), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fredrickson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Barone (Barone), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barone 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 Carlos Palacios Pazos (Palacios Pazos), previously associated with Efg Capital International, has at least one disclosable event. These events include one customer complaint, alleging that Palacios Pazos recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bindra recommended unsuitable investments in different investment products including debt securities among other allegations…