According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Howard (Howard), currently associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard 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 Mayotte (Mayotte), previously associated with Momentum Independent Network INC., has at least one disclosable event. These events include one customer complaint, alleging that Mayotte 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 Larry Sfinas (Sfinas), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sfinas 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 Danniel Kazi (Kazi), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazi 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 Schumaker (Schumaker), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schumaker 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 Kelly Otoole (Otoole), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Otoole recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Power (Power), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Power recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Brandstater (Brandstater), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandstater recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Cramer (Cramer), previously associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cramer 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 Brian Clough (Clough), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clough recommended unsuitable investments in different investment products including debt securities among other allegations…