According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Howell (Howell), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 Robert Douglass (Douglass), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Douglass 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 Mitchell Bowles (Bowles), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowles 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 Guilford Nergard (Nergard), previously associated with San Blas Securities LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Nergard recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Elafros (Elafros), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Elafros recommended unsuitable investments in different investment products including debt securities among…
Previously financial advisor Forrest Ross (Ross), previously 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 Guillermo Santiago (Santiago), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 Darrin Farrow (Farrow), previously associated with Triad Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrow 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 Andreas Dailey (Dailey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dailey 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 Alfred Czerniewski (Czerniewski), currently associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Czerniewski recommended unsuitable investments in different investment products including debt securities among other allegations…