According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clark Harris (Harris), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Harris recommended unsuitable investments in different investment products including debt securities among other allegations and…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Alan Friedman (Friedman), currently employed by Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Friedman’s most…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Schueman (Schueman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schueman 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 Scott Wolfrum (Wolfrum), previously associated with Huntleigh Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wolfrum 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 Marc Fragola (Fragola), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fragola 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 William Gamble (Gamble), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gamble 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 Michael Disilvio (Disilvio), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Disilvio recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Arnall (Arnall), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arnall recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chandler Altman (Altman), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altman 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 Steven Simons (Simons), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons recommended unsuitable investments in different investment products including debt securities among other…