According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Gill (Gill) has been the subject of at least 9 customer complaints, 2 criminal matters, 2 employment terminations, and 5 regulatory complaints. The customer complaints against Gill allege securities law violations that claim churning and excessive…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Donald Fowler (Fowler) has been the subject of at least 10 customer complaints. The customer complaints against Fowler allege securities law violations that claim churning and excessive trading, unsuitable investments, breach of fiduciary duty, unauthorized trading, fraud,…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Pizzimenti (Pizzimenti) has been the subject of at least 4 customer complaints. Customers have filed complaints against Pizzimenti alleging securities law violations including claims of churning and excessive trading, unsuitable investments, excessive commissions, unauthorized trading, breach…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael McDonald (McDonald) has been the subject of at least 5 customer complaints. Customers have filed complaints against McDonald alleging securities law violations including claims of churning and excessive trading, unsuitable investments, excessive commissions, unauthorized trading, breach…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Jeffery (Jeffery) has been the subject of one customer complaint and one regulatory action. The Customers complaint against Jeffery alleges securities law violations that focus primarily on churning and excessive trading. In addition to the churning…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Marks (Marks) has been the subject of at least 2 customer complaints. Customers have filed complaints against Marks alleging securities law violations that focus primarily on churning and excessive trading. In addition to the churning claims,…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Hilary Zimmerman (Zimmerman) has been the subject of at least 6 customer complaints over the course of her career. Customers have filed complaints against Zimmerman alleging securities law violations including that the broker made unsuitable investments, negligence,…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Daren Dorval (Dorval) has been the subject of at least 6 customer complaints, 1 regulatory matter, and one criminal matter over the course of his career. Customers have filed complaints against Dorval alleging securities law violations that…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Wolk (Wolk) has been the subject of an astonishing 13 customer complaints, 3 regulatory matters, one criminal matter, and 6 judgments and liens over the course of his career. Customers have filed complaints against Wolk alleging…
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Bennett Broad (Broad) has been the subject of an astonishing 28 customer complaints and one regulatory matter over the course of his career. Customers have filed complaints against Broad alleging securities law violations including that the broker…