According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jesse Krapf (Krapf), previously associated with Spartan Capital Securities, LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Krapf concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Doneth (Doneth), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Doneth 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 Kyle Wool (Wool), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wool 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 R Mitchell Wickham (Wickham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wickham recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Minehart (Minehart), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Minehart recommended unsuitable investments in different investment products including debt securities among other allegations and…
Currently financial advisor Alan Levine (Levine), currently employed by brokerage firm LPL Financial 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 Debra Shultz (Shultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 Gregory Cash (Cash), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cash recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Terry Harris (Harris), previously employed by brokerage firm Money Concepts Capital CORP 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other…