According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kostas Tsamos (Tsamos), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Tsamos 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 Shana Hudson (Hudson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hudson 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 Timothy Farris (Farris), currently associated with Cetera Advisors LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Farris 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 Richard Eden (Eden), currently associated with David Lerner Associates, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Eden 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 Jeffrey Perryman (Perryman), previously associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 5 customer complaints, one regulatory, alleging that Perryman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Helmer (Helmer), currently associated with LPL Financial LLC / Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helmer recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chin yu Hsieh (Hsieh), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsieh recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Turpin (Turpin), previously associated with Usa Financial Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Turpin recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Lindner (Lindner), previously associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lindner recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Arroyo (Arroyo), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Arroyo recommended unsuitable investments in different investment products including debt securities among other allegations…