According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Williams (Williams), currently associated with Kcd Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 Azmi Sharif (Sharif), previously associated with Kcd Financial, Inc., has at least 2 disclosable events. These events include 2 tax liens, alleging that Sharif 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 John Openshaw (Openshaw), previously associated with KCD Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Openshaw 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) advisor Christopher Parr (Parr), in October 2017, was under investigation by FINRA based on a preliminary determination that Parr’s conduct allegedly violated FINRA Rules 3240, 3280, and 2010. In addition, the state of Kansas has a pending regulatory…
