According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Moon (Moon), currently associated with Rockefeller Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Moon concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 Mark Willets (Willets), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Willets recommended unsuitable investments in different investment products including debt…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Matson (Matson) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Matson was employed by LPL Financial LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garry Martin (Martin), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Defilippo (Defilippo), currently associated with Revere Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defilippo 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 Stephan Edwards (Edwards), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Edwards 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 Jacqueline Fix (Fix), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fix 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 Gregory Mueller (Mueller), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mueller recommended unsuitable investments in different investment products including debt securities among other allegations…
Previously financial advisor Howard Kavinsky (Kavinsky), previously employed by brokerage firm Supreme Alliance LLC has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments…