According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stevens (Stevens), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 Lok Kei Kelvin Wong (Wong), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wong recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfonso Duarte Rioseco (Duarte Rioseco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duarte Rioseco recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Julianel (Julianel), currently associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Julianel 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 Ernesto Arcos (Arcos), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Arcos 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 Jerry Parrish (Parrish), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parrish recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Justin Gillham (Gillham), currently employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Chu (Chu), currently associated with RBC Capital Markets, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chu 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 Erik Hanson (Hanson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hanson 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 Ryan Shoop (Shoop), currently associated with Westminster Financial Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Shoop concern allegations of high frequency trading…