Ryon Frisch (CRD #: 5005383), a broker registered with MML Investors Services, allegedly misrepresented annuities, according to his BrokerCheck record, accessed on November 28, 2022. […]
Thomas Tornow (CRD #: 2340857), a broker registered with Pruco Securities, allegedly failed to fully inform an investor, according to his BrokerCheck record, accessed on […]
Brock Brady (CRD #: 4638576), a broker formerly registered with Cetera Advisor Networks, allegedly misrepresented investments, according to his BrokerCheck record, accessed on November 28, […]
Erik Alexander (CRD #: 5839269), a broker registered with Cetera Advisor Networks, allegedly misrepresented investments, according to his BrokerCheck record, accessed on November 28, 2022. […]
Investor Alleges Ernesto Chavez Gave Unsuitable Investment Recommendations
Dec 2, 2022
Misrepresentation
Ernesto Chavez (CRD #: 4315877), a broker registered with Emerson Equity, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on November 28, 2022. […]
Simon Clarke Allegedly Misrepresented Unsuitable Options Overlay Strategy
Dec 2, 2022
Misrepresentation
Simon Clarke (CRD #: 4232824), a broker registered with UBS Financial Services, allegedly made misrepresentations, according to his BrokerCheck record, accessed on November 21, 2022. […]
Toki Uchiyama (CRD #: 5665633), a broker registered with Equitable Advisors, allegedly failed to explain annuities to a client, according to her BrokerCheck record, accessed […]
Investors Allege James Springer Failed to Disclose Information About Investment
Dec 2, 2022
Misrepresentation
James Springer (CRD #: 2535792), a broker registered with Stifel, Nicolaus & Company, allegedly omitted information about an investment, according to his BrokerCheck record, accessed […]
Robert Meyer (CRD #: 5262157), a broker registered with Berthel, Fisher & Company Financial Services, allegedly violated multiple FINRA rules, according to his BrokerCheck record, […]
Francisco Aguilera (CRD #: 6024692), a broker registered with Fidelity Brokerage Services, allegedly misrepresented an investment, according to his BrokerCheck record, accessed on November 21, […]