According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathie Foreman (Foreman), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Foreman recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Andrew Murdoch (Murdoch), currently employed by brokerage firm Somerset Securities, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jefferson Dyer (Dyer), previously associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Dyer 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 Tricia Zelinka (Zelinka), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zelinka recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Genevieve Mar (Mar), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mar recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Chan (Chan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 Linda Derickson (Derickson), currently associated with Founders Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Derickson 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 William Sheehan (Sheehan), previously associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sheehan 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 David Wilson (Wilson), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Elaine Hartman (Hartman), currently associated with Independent Financial Group, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hartman concern allegations of high frequency trading…
