Securities Lawyers Blog

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Broker George Burmann in Cabot Lodge Securities LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Burmann (Burmann), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burmann recommended unsuitable investments in different investment products including debt securities among other…

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Broker Leslie Kern in D.h. Hill Securities, Lllp Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Kern (Kern), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Kern recommended unsuitable investments in different investment products including debt securities among other…

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Broker Richard Zientarski in Planmember Securities Corporation Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Zientarski (Zientarski), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zientarski recommended unsuitable investments in different investment products including debt securities among other allegations…

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There are Recent Customer Complaints with Broker Barry Schwartz in Firm UBS Financial Services INC.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Schwartz (Schwartz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other…

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There are Recent Customer Complaints with Broker Andrew Dutton in Firm Peak Brokerage Services, LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dutton (Dutton), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dutton recommended unsuitable investments in different investment products including debt securities among other…

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There are Recent Customer Complaints with Broker Spencer Miller in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Spencer Miller (Miller) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Miller was employed by Merrill Lynch, Pierce,…

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There are Recent Customer Complaints with Broker Joshua Allen in Firm J.P. Morgan Securities LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Allen (Allen), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allen recommended unsuitable investments in different investment products including debt securities among other…

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Broker Janine Ledbetter in Cetera Advisors LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janine Ledbetter (Ledbetter), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ledbetter recommended unsuitable investments in different investment products including debt securities among other allegations…

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There are Recent Customer Complaints with Broker Marci Coots in Firm Morgan Stanley

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marci Coots (Coots), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Coots recommended unsuitable investments in different investment products including debt securities among other allegations and…

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There are Recent Customer Complaints with Broker Luke Alger in Firm Truist Investment Services, INC.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Alger (Alger), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alger recommended unsuitable investments in different investment products including debt securities among other…

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