According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Armando Barron (Barron), previously associated with Irc Securities LLC, has at least one disclosable event. These events include one tax lien, alleging that Barron 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 Pamela Calhoun (Calhoun), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Calhoun 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 Stacy Spearman (Spearman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spearman 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 Norman Harp (Harp), currently associated with B.b. Graham & Company, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Harp 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 Raia (Raia), currently associated with Moloney Securities Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raia 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 Michael Hyser (Hyser), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hyser 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 Sean Casterline (Casterline), previously associated with Delta Securities Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casterline 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 John Pittman (Pittman), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pittman recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Bronson Jacoway (Jacoway), previously employed by brokerage firm Lincoln Financial Advisors Corporation 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Simmons (Simmons), previously associated with Lincoln Financial Securities Corporation, has at least one disclosable event. These events include one tax lien, alleging that Simmons recommended unsuitable investments in different investment products including debt securities among other…