According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullum (Sullum), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Sullum 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 Brent Makarczyk (Makarczyk), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Makarczyk 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 Welch (Welch), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Welch 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 Jeffrey Bruhn (Bruhn), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruhn recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Parker Hansen (Parker Hansen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parker Hansen recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Binstock (Binstock), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Binstock 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 Mark French (French), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that French 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 Buikema (Buikema), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buikema 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 Daniel Wildermuth (Wildermuth), previously associated with Wildermuth Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wildermuth 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 Beverly Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox recommended unsuitable investments in different investment products including debt securities among other allegations…