Unit Investment Trusts Archives - Securities & Investment Lawyer

Patrick Gillooly Allegedly Misrepresented UITs

Jul 18, 2022 Misrepresentation

Patrick Gillooly (CRD #: 1175343), a broker formerly registered with LPL Financial, allegedly misrepresented unit investment trusts, according to his BrokerCheck record, accessed on July […]

Jeff Marzolf Facing Allegations of Unsuitability and Unauthorized Trades

Sep 3, 2021 Investor Disputes

Jeff Marzolf (CRD #: 1946939), a broker registered with Raymond James Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed […]

Chance Carson Racks Up Five Investor Disputes in 2022

Aug 27, 2021 Misrepresentation

Chance Carson (CRD #: 41892), a broker registered with Intervest International Equities Corporation, has new investor disputes on his BrokerCheck record, accessed on December 30, […]

Gary Bowman Subject of FINRA Fine and Suspension

Aug 24, 2021 FINRA Fine

Gary Bowman (CRD #: 2035699), a broker previously registered with Sagepoint Financial, has been suspended by FINRA, according to his BrokerCheck record, accessed on August […]

Kelly Feehrer Fined and Suspended By FINRA

Jul 16, 2021 Suspended Broker

Kelly Feehrer (CRD #: 1470328), a broker registered with Merrill Lynch, Pierce, Fenner & Smith in Chattanooga, Tennessee, has agreed to a FINRA fine and […]