According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Heidi Chamberlain (Chamberlain), currently associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Chamberlain concern allegations of high frequency trading activity also…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Melanie Folstad (Folstad) 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 Folstad was employed by RBC Capital Markets,…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker David Sosa (Sosa), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Sosa’s…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Cooke (Cooke), previously associated with Raymond James Financial Services, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cooke concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Martin (Martin), currently associated with Integrity Alliance, Llc., 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 other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Peterson (Peterson), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Peterson recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor Michael Tannery (Tannery), currently employed by brokerage firm Independent Financial Group, LLC 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 Joseph Gibbons (Gibbons), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gibbons recommended unsuitable investments in different investment products including debt…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Marvin Bergstrom (Bergstrom), previously associated with Crescent Securities Group, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Bergstrom concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Williams (Williams), currently associated with PFS Investments Inc., has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations…