According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis James (James), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that James 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 Masi (Masi), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Masi 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 Edward Hill (Hill), currently associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Hill 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 Michael Graham (Graham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 Janice Youngblood (Youngblood), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Youngblood 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 David Taddeo (Taddeo), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Taddeo 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 Kenneth South (South), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that South 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 Sharif Sharif (Sharif), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 tax liens, alleging that Sharif 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 John Nistler (Nistler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nistler 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 Michael Mcfeeley (Mcfeeley), currently associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Mcfeeley recommended unsuitable investments in different investment products including debt securities among other allegations…