According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Shotsberger (Shotsberger), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shotsberger recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Haling (Haling), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Haling concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Labadie (Labadie), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Labadie 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 Mikhail Leyon (Leyon), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leyon 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 David Curry (Curry), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Curry 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 Eric Kleiner (Kleiner), previously associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kleiner 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 Hagop Nalbandian (Nalbandian), currently associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nalbandian 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 Raymond Chow (Chow), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Chow 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 James Gahagan (Gahagan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gahagan 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 Kirk Crossen (Crossen), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Crossen recommended unsuitable investments in different investment products including…
