According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lance Walston (Walston), previously associated with Dominion Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Walston recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Douglas Studer (Studer), previously employed by brokerage firm Kovack Securities INC. 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 Steven Standley (Standley), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Standley 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 Augustine Choi (Choi), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Choi recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Hilinski (Hilinski), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hilinski recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yin Zhong (Zhong), previously associated with Ni Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zhong 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 Ross Barish (Barish), previously associated with Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Barish recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Vandalen (Vandalen), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vandalen 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 Roderick Carr (Carr), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carr 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 Damian Bell (Bell), previously associated with International Assets Advisory, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bell recommended unsuitable investments in different investment products including debt securities among other…