According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Snider (Snider), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Snider 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 Openshaw (Openshaw), previously associated with KCD Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Openshaw 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 Alan Ertel (Ertel), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ertel 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 Thomas Rapp (Rapp), currently associated with M Holdings Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Rapp 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 Forster (Forster), currently associated with San Blas Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Forster 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 William Mangano (Mangano), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mangano 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 Kenper Miller (Miller), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 William Meador (Meador), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Meador 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 Jorgenson (Jorgenson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jorgenson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), currently associated with Newbridge Securities Corporation, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Whitaker recommended unsuitable investments in different investment products including debt securities among other allegations…