According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Coombe (Coombe), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Coombe recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Hardee (Hardee), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardee 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 Hedley Greene (Greene), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Greene 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 Laderer (Laderer), currently associated with Henley & Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Laderer 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 Elizabeth Calaman (Calaman), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calaman 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 Scott Spruth (Spruth), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spruth recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lowry Bayley (Bayley), previously associated with Sanctuary Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bayley 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 George Kontos (Kontos), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kontos recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Payne (Payne), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Payne 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 Felipe Zegarra (Zegarra), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Zegarra recommended unsuitable investments in different investment products including debt securities among other…