According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Cook (Cook), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Cook recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bartholomew Mackler (Mackler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mackler 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 Reed (Reed), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reed 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 Parenti (Parenti), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Parenti 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 Roosevelt Grayson (Grayson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grayson 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 Kirwan (Kirwan), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 Devenney (Devenney), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Devenney 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 Matthew Feldman (Feldman), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feldman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lee Mcneill (Mcneill), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mcneill recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Peacock recommended unsuitable investments in different investment products including debt securities among other…
