INVESTORS: Former Berthel, Fisher & Company broker Steve Jeffrey Cummings is facing a customer dispute alleging excessive investment losses. Steve Jeffrey Cummings (CRD#: 2274017) was[...]
Search Results for: Unsuitable Investment Recommendations
INVESTORS: Hornor, Townsend & Kent broker Debra Lynn Clark was named in a customer dispute alleging she recommended unsuitable investments, among other forms of misconduct.[...]
INVESTORS: Morgan Stanley broker Thomas Craig Bonds was named in a customer dispute alleging he recommended unsuitable investments. Thomas Craig Bonds (CRD: 1867556) is registered[...]
INVESTORS: Wells Fargo broker Daniel Arthur Evans was named in a customer dispute alleging he recommended unsuitable investments. Daniel Arthur Evans (CRD: 1573625) is registered[...]
INVESTORS: DFPG Investments broker Joseph Langlois is facing a customer dispute alleging that he recommended unsuitable investments, among other forms of misconduct. Joseph Langlois (CRD:[...]
INVESTORS: Former Snowden Account Services broker Jorge Luis Alfonso was named in a customer dispute alleging unsuitable investment recommendations. Jorge Luis Alfonso (CRD#: 4728979) was[...]
INVESTORS: Hightower Securities broker Peter Joseph Klein was named in three customer disputes alleging violation of suitability obligations in connection with private placements. Peter Joseph[...]
INVESTORS: Charles Schwab broker Mark Lee Elafros was named in customer dispute alleging unsuitable investment recommendations Mark Lee Elafros (CRD#: 2337393) is registered as a[...]
INVESTORS: Morgan Stanley broker Michael John Wagner is facing two pending customer disputes alleging unsuitable investment recommendations and misrepresentation. Michael John Wagner (CRD#:4465334) is registered[...]
INVESTORS: Ameriprise Financial Services broker David Norman Adams is facing two pending customer disputes alleging unsuitable investment recommendations. David Norman Adams (CRD#:1575083) is registered as[...]