Currently financial advisor Robert Crothers (Crothers), currently employed by brokerage firm Osaic Wealth, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene Griffin (Griffin), currently associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Griffin 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 Michael Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jerome Messana (Messana), currently associated with Aegis Capital Corp., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Messana concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mckinzie Valverdy (Valverdy), currently associated with Puente Servicios Financieros LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valverdy 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 Kevin Dauphinee (Dauphinee), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Dauphinee recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Shaw Elashmawy (Elashmawy), currently employed by brokerage firm Maxim Group LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Johnson (Johnson), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 Evan Saterfiel (Saterfiel), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saterfiel 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 Victoria Bogner (Bogner), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bogner recommended unsuitable investments in different investment products including debt securities among other allegations and…