According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip George (George), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that George 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 Roman Gadaskin (Gadaskin), currently associated with the Oak Ridge Financial Services Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gadaskin recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Landis (Landis), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landis 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 Edward Rudiger (Rudiger), currently associated with Reid & Rudiger LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rudiger 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 Lorraine Geiss (Geiss), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geiss 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 Stuart Spivak (Spivak), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Spivak 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 Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg 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 Russell Jones (Jones), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 Cohen (Cohen), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Leavitt (Leavitt), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leavitt recommended unsuitable investments in different investment products including debt securities among…