According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Connor (Connor), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Connor recommended unsuitable investments in different investment products including debt securities among other allegations…
Securities Lawyers Blog
There are Recent Customer Complaints with Broker Jonna Keller in Firm Osaic Wealth, INC.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker William Schumann in Cetera Financial Specialists LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Schumann (Schumann), currently associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schumann recommended unsuitable investments in different investment products including debt securities among other…
Broker Michael Frager in Willow Cove Investment Group, INC. Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frager (Frager), currently associated with Willow Cove Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frager recommended unsuitable investments in different investment products including debt securities among…
There are Recent Customer Complaints with Broker Brian Adams in Firm Fifth Third Securities, INC.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Adams (Adams), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adams recommended unsuitable investments in different investment products including debt securities among other…
There are Recent Customer Complaints with Broker Zachary Taylor in Firm Saxony Securities, INC.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Taylor (Taylor), previously associated with Saxony Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Taylor recommended unsuitable investments in different investment products including debt securities among other allegations…
There are Recent Customer Complaints with Broker Nancy Martinez in Firm Cuso Financial Services, L.p.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Martinez (Martinez), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martinez recommended unsuitable investments in different investment products including debt securities among other…
Broker Michael Lindemann in LPL Financial LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lindemann (Lindemann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lindemann recommended unsuitable investments in different investment products including debt securities among other allegations…
There are Recent Customer Complaints with Broker Jana Thielges in Firm Edward Jones
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jana Thielges (Thielges), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thielges recommended unsuitable investments in different investment products including debt securities among other allegations and…
Broker John Matteoni in Osaic Wealth, INC. Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Matteoni (Matteoni), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matteoni recommended unsuitable investments in different investment products including debt securities among other allegations…