According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Morrison (Morrison), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 Wade Wilson (Wilson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wilson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wampler (Wampler), currently associated with Moloney Securities Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wampler 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 Dennis Malachosky (Malachosky), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Malachosky concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Mickelson (Mickelson), currently associated with Creativeone Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mickelson concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorri Gillock Cordelli (Gillock Cordelli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gillock Cordelli recommended unsuitable investments in different investment products including…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jennifer Kim (Kim), currently employed by Signature Estate Securities, 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), Kim’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joffrion (Joffrion), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Joffrion 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 James Fay (Fay), currently associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Fay concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Geller (Geller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geller recommended unsuitable investments in different investment products including debt securities among other…