According to BrokerCheck records financial advisor Mark Augusta (Augusta), currently employed by Hilltop Securities, Inc. (Hilltop Securities) has been subject to at least an astonishing 19 customer complaints and one employment termination for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA), Augusta’s customer complaints allege that…
According to BrokerCheck records financial advisor Gary Meier (Meier), formerly employed by Boz & Company LLC (Boz) and Cambridge Investment Research, Inc. (Cambridge Investment) has been subject to at least eight customer complaints and two regulatory actions. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of…
According to BrokerCheck records financial advisor Jesse Krapf (Krapf), currently employed by Benchmark Investments, Inc. (Benchmark Investments) has been subject to at least one customer complaint and two debt related judgements or tax liens. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Krapf’s customer complaints…
Advisor William Gordon (Gordon), currently employed by Capital Financial Services, Inc. (Capital Financial) has been subject to at least 13 customer complaints and one regulatory complaint. According to a BrokerCheck report most of the customer complaints concern alternative investments and direct participation products (DPPs) such as private placements, tenants-in-common trusts,…
According to BrokerCheck records financial advisor Stan Leavitt (Leavitt), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to at least two customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Leavitt’s customer complaints allege that Leavitt made unsuitable recommendations and made…
According to BrokerCheck records financial advisor Barry Speyer (Speyer), currently employed by Morgan Stanley has been subject to at least seven customer complaints and one regulatory action. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Speyer’s customer complaints allege that Speyer made was negligent and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael Olinde (Olinde), currently associated with Capital Financial Services, Inc. (Capital Financial), in May 2017, was discharged from his employer LPL Financial LLC (LPL) due to allegations that he violated the firm’s policies regarding outside business activities. …
According to BrokerCheck records financial advisor John Spach (Spach), formerly employed by Kestra Investment Services, LLC (Kestra) has been subject to at least one customer complaint, one regulatory action, and one employment termination for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA), Spach’s customer complaint alleges…
According to BrokerCheck records financial advisor Ronald Rothchild (Rothchild), currently employed by National Securities Corporation (National Securities) has been subject to at least four customer complaint, two financial disclosures, and an employment termination for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Rothchild’s customer…
Advisor Alan Dole (Dole), currently employed by Cambridge Investment Research, Inc. (Cambridge) has been subject to at least two customer complaints. According to a BrokerCheck report some of the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas…