According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kurt Cambier (Cambier), currently associated with Cambridge Investment Research, INC., has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Cambier concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Douglas Buczak (Buczak), previously associated with Raymond James Financial Services, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Buczak concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Rothlein (Rothlein), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rothlein 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 David Lam (Lam), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lam 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 Joe Gentry (Gentry), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gentry 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 Claudia Leite (Leite), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Leite 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 Mimi Park (Park), currently associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stone recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor Brian Gardiner (Gardiner), currently employed by brokerage firm Vanderbilt Securities, 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 Ximena Goni (Goni), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Goni recommended unsuitable investments in different investment products including debt securities among other…