According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Manners (Manners), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manners 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 Thomas Moore (Moore), currently associated with St. Bernard Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson 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 Luis Espinoza (Espinoza), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Espinoza 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 Ruben Frezzotti (Frezzotti), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frezzotti recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Knudsen (Knudsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knudsen 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 Richard Coleman (Coleman), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Coleman recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor John Sullivan (Sullivan), currently employed by brokerage firm Huntleigh Securities Corporation 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 Elizabeth Kidoor (Kidoor), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kidoor 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 Eric Lerner (Lerner), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Lerner recommended unsuitable investments in different investment products including debt securities among other…