According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Kiefer (Kiefer), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kiefer 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 Marc Minor (Minor), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Minor 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 Lynch (Lynch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lynch 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 Stephen Bush (Bush), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 Robert Palatella (Palatella), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palatella recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danette Volpenhein (Volpenhein), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Volpenhein recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Garcia (Garcia), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jonathan Bourgeois (Bourgeois), currently associated with Wells Fargo Clearing Services, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Bourgeois concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Prince (Prince), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Prince 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 Roger Johnson (Johnson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations…