According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvin Miller (Miller), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 Barbara Fox (Fox), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 Wayne Stewart (Stewart), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 Cheryl Dial (Dial), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dial 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 Airinhos Serradas (Serradas), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Serradas 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 Gary Didonna (Didonna), previously associated with Spire Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Didonna 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 Steven Carlsen (Carlsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carlsen 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 Lawrence Perl (Perl), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Perl 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 Danielle Jordan (Jordan), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jordan 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 Travis Mcclarney (Mcclarney), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcclarney recommended unsuitable investments in different investment products including debt securities among other allegations…