According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Greg Waldman (Waldman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Waldman 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 Jeff Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haiguang Yin (Yin), previously associated with Packerland Brokerage Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Yin 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 Mark Specker (Specker), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Specker 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 Isaac Chan (Chan), currently associated with J.P. Morgan Securities LLC, 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Hiller (Hiller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hiller 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 Glenn Wittpenn (Wittpenn), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittpenn recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Scroggins (Scroggins), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scroggins 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 Mark Bodkins (Bodkins), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bodkins 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 Maurice Gelfo (Gelfo), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gelfo recommended unsuitable investments in different investment products including debt securities among other allegations…
