Currently financial advisor Jay Geaslen (Geaslen), currently employed by brokerage firm Avantax Investment Services, Inc. has been subject to at least 3 disclosable events. These events include 2 customer complaints, one regulatory. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Kirkpatrick (Kirkpatrick), currently associated with Larson Financial Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkpatrick 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 Donald Hancock (Hancock), currently associated with Moloney Securities Co., Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Hancock recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Benedict (Benedict), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benedict 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 Andrew Andreotta (Andreotta), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andreotta 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 Jason Kimber (Kimber), currently associated with J.w. Cole Financial, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kimber 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 Kuldeep Madan (Madan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madan 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 Samuel Sutterfield (Sutterfield), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sutterfield 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 Lei Shen (Shen), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shen 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 Otto Bohon (Bohon), previously associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Bohon recommended unsuitable investments in different investment products including debt securities among other allegations…