According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Simonitis (Simonitis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simonitis 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 Arthur Mcpherson (Mcpherson), currently associated with World Equity Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 Rita Mansour (Mansour), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mansour 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 Lily Li (Li), currently associated with Tigress Financial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Matthew Smith (Smith), previously employed by brokerage firm Arete Wealth Management, 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 Tolbert (Tolbert), currently associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 Robert Lott (Lott), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lott 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 Ryan Turner (Turner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turner 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 Otto Bohon (Bohon), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bohon recommended unsuitable investments in different investment products including debt securities among other allegations…