According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lamont (Lamont), previously associated with Whitehall-parker Securities, INC., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Lamont recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Tritico (Tritico), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tritico 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 Steven Jennings (Jennings), currently associated with D.h. Hill Securities, Lllp, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Jennings 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 David Buckwald (Buckwald), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Buckwald 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 Gregory Halstead (Halstead), currently associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Halstead 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 Margaret Suite Arnold (Suite Arnold), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Suite Arnold recommended unsuitable investments in different investment products including debt securities…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Sloane (Sloane), previously associated with Westpark Capital, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Sloane concern allegations of high…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Armstrong (Armstrong), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Senglaub 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 Reynolds (Reynolds), previously associated with Northland Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reynolds recommended unsuitable investments in different investment products including debt securities among other allegations…