According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorri Gillock Cordelli (Gillock Cordelli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gillock Cordelli recommended unsuitable investments in different investment products including…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jennifer Kim (Kim), currently employed by Signature Estate Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kim’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joffrion (Joffrion), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Joffrion recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Fay (Fay), currently 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 Fay concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Geller (Geller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geller 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 Kevin Mcdougall (Mcdougall), currently associated with Thurston Springer Financial, has at least one disclosable event. These events include one customer complaint, alleging that Mcdougall 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 Russell Rabito (Rabito), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rabito 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 Raymond Lent (Lent), currently associated with Arete Wealth Management, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Lent recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Mullen (Mullen), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mullen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Chow (Chow), currently associated with Cetera Investment Services LLC, 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…
