According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Kaufman (Kaufman), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaufman concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Raymond Haskell (Haskell), currently associated with Stonex Securities INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Haskell concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Richard Watson (Watson), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Watson concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dale Anderson (Anderson), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Anderson concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Vaughn (Vaughn), previously associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vaughn recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Phillip Sherrill (Sherrill), currently associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Sherrill concern allegations of high frequency trading…
Previously financial advisor Thomas Mcdonald (Mcdonald), previously employed by brokerage firm Mcdonald Partners LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Benson (Benson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benson 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 Jason Mitsuda (Mitsuda), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mitsuda 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 Mark Beck (Beck), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beck recommended unsuitable investments in different investment products including debt securities among other…