INVESTORS: Arete Wealth Management broker Avi Bailo was named in customer disputes alleging unsuitable investment recommendations. Avi Bailo (CRD: 6165479) is registered as a broker[...]
Search Results for: Unsuitable Investment Recommendations
INVESTORS: American Trust Investment Services broker Linda Jill Wimsatt was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Linda[...]
INVESTORS: Western International Securities broker Thomas Brian Swan was charged by the SEC for violating Regulation Best Interest in connection with recommendations to purchase GWG-L[...]
INVESTORS: American Trust Investment Services broker Scot Barringer was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Scot Barringer[...]
INVESTORS: Former Sagepoint Financial broker Delio Eduardo Londono was named in multiple customer disputes following allegations of selling unsuitable investment recommendations and unsuitable trading. Delio[...]
INVESTORS: Cetera Investment Services broker Leo Li-Yuan Chien was named in customer disputes following allegations of selling unsuitable investments. Leo Li-Yuan Chien (CRD: 2821380) is[...]
INVESTORS: Former SW Financial broker Peter Girgis was named in multiple customer disputes following allegations of selling unsuitable investment recommendations and unsuitable trading. Peter Girgis[...]
INVESTORS: NI Advisors broker Suihock Goy was named in multiple customer disputes following allegations of selling unsuitable investments in GWG-L bonds. Suihock Goy (CRD: 2821380)[...]
INVESTORS: Ameriprise Financial Services broker Thais Drummond Piotrowski was named in a customer dispute alleging unsuitable investment recommendations. Thais Drummond Piotrowski (CRD#: 4729077) is registered[...]
INVESTORS: American Trust Investment Services Broker was named six pending customer disputes alleging breach of fiduciary duty and unsuitable investment recommendations. David Richard Geake (CRD#:[...]