According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 Yan Sun (Sun), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sun 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 J. Brian Glaze (Glaze), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Glaze recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Regina Loeks (Loeks), currently associated with Pershing LLC / Pershing Advisor Solutions LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loeks recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Olson (Olson), currently associated with Arete Wealth Management, LLC, 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 other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Kurt Berry (Berry) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Berry was employed by Vanderbilt Securities, LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schultz (Schultz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 Bryan Emerson (Emerson), currently associated with Cim Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emerson 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 Melvin Rokeach (Rokeach), previously associated with May Capital Group, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Rokeach 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 Larry Ware (Ware), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ware recommended unsuitable investments in different investment products including debt securities among other…