According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Harp (Harp), currently associated with B.b. Graham & Company, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Harp recommended unsuitable investments in different investment products including debt securities among…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Russell Macke (Macke) has been the subject of at least 5 customer complaints, 2 regulatory actions, and 2 employment terminations, and 7 judgment or liens. Customers have filed complaints against Macke alleging securities law violations including poor…
The Financial Industry Regulatory Authority (FINRA) barred (Case No. 20150443048) broker Thomas Hogle (Hogle) after the broker failed to respond to a letter from the regulator requesting information. While the BrokerCheck records kept by FINRA do not disclose all the facts being investigated by the regulatory inquiry, FINRA sent Hogle…
