According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Mead (Mead), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mead 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 Stephen Angelis (Angelis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Angelis 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 Joseph Sanders (Sanders), currently associated with Westpark Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanders recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Jeffrey Sullivan (Sullivan), currently employed by brokerage firm Hightower Securities, 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 as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Bortz (Bortz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bortz 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 Bennett Herzfeld (Herzfeld), previously associated with Carter, Terry & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Herzfeld recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Sullivan (Sullivan), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 Philip Sessoms (Sessoms), currently associated with Mutual of Omaha Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessoms recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kazlau (Kazlau), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazlau 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 Kristian Hernandez (Hernandez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez recommended unsuitable investments in different investment products including debt securities among other…