According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Davis recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Roscoe (Roscoe), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Roscoe 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 Unbo Chung (Chung), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chung 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 Richard Kruithoff (Kruithoff), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kruithoff 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 Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 Catherine Bearce (Bearce), currently associated with Nobles & Richards, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bearce 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 Andrew Krieger (Krieger), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Krieger recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least 11 disclosable events. These events include 11 customer complaints, alleging that Patatian 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 David Gibbs (Gibbs), currently associated with J. Alden Associates, Inc., has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Gibbs recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Thacker (Thacker), previously associated with Realta Equities, Inc., has at least 19 disclosable events. These events include 19 customer complaints, alleging that Thacker recommended unsuitable investments in different investment products including debt securities among other allegations…