According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duane Pellman (Pellman), previously associated with Intercarolina Financial Services, INC., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Pellman 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 Eric Ng (Ng), currently associated with Intercarolina Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ng recommended unsuitable investments in different investment products including debt securities among other…
According to broker Adamson Wright’s (Wright) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that from May 2010 through February 2011, he effected approximately 249 mismarked order tickets as being “unsolicited” orders when the trades were “solicited” causing the firm to maintain inaccurate books…
