According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Olson (Olson), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Olson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luisa Gonzalez (Gonzalez), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Timothy Bartelt (Bartelt), currently associated with Raymond James Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Bartelt concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trevor Rahn (Rahn), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rahn recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fitzgerald (Fitzgerald), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fitzgerald 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 Mark Higginbotham (Higginbotham), previously associated with E*trade Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higginbotham 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 Wayne Rowlands (Rowlands), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rowlands recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jonah (Jonah), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jonah 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 Robert Pearlman (Pearlman), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Pearlman 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 Mark Carlson (Carlson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Carlson recommended unsuitable investments in different investment products including debt…