According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Hejza (Hejza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hejza 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 Lisa Ditkowsky (Ditkowsky), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ditkowsky 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 Timothy Fraser (Fraser), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fraser 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 Nichols (Nichols), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nichols 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 Brian Napier (Napier), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Napier 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 Max Elson (Elson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Elson recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Anselmo Contreras (Contreras), previously associated with Ifs Securities, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Contreras concern allegations of high frequency trading activity also…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Gutwein (Gutwein), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gutwein 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 William Hurckes (Hurckes), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurckes 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 Jason Murphy (Murphy), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murphy recommended unsuitable investments in different investment products including debt securities among…