According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Sanders (Sanders), previously associated with Woodmen Financial Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Sanders recommended unsuitable investments in different investment products including debt…
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There are Recent Customer Complaints with Broker Richard Barker in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Barker (Barker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Barker recommended unsuitable investments in different investment products including debt…
There are Recent Customer Complaints with Broker Justin Mundt in Firm Fbl Marketing Services, LLC
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Mundt (Mundt), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mundt recommended unsuitable investments in different investment products including debt securities among other…
There are Recent Customer Complaints with Broker Christopher Tolmacs in Firm Triad Advisors, INC.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Tolmacs (Tolmacs), previously associated with Triad Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tolmacs recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker Thomas Grant in Grove Point Investments, LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Grant (Grant), currently associated with Grove Point Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grant recommended unsuitable investments in different investment products including debt securities among other…
Broker Mary Silvers in Cetera Advisors LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Silvers (Silvers), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Silvers recommended unsuitable investments in different investment products including debt securities among other allegations…
There are Recent Customer Complaints with Broker James Sophia in Firm Vanderbilt Securities, LLC
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Sophia (Sophia), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sophia recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker Gregory Obrien in PHX Financial, INC. Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Obrien (Obrien), previously associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Obrien recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker Thomas Lundgaard in Kestra Investment Services, LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Lundgaard (Lundgaard), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lundgaard recommended unsuitable investments in different investment products including debt securities among other…
Broker Miguel Correa Cestero in Popular Securities, LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Correa Cestero (Correa Cestero), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Correa Cestero recommended unsuitable investments in different investment products including debt securities…