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 Fined By the SEC Following Allegations of Unnecessary Sales Charges
Aug 27, 2021
Regulatory Action
Chance Carson (CRD #: 41892), a broker registered with Intervest International Equities Corporation, is the subject of an SEC fine, according to his BrokerCheck record, […]
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 (CRD #: 1470328), a broker registered with Merrill Lynch, Pierce, Fenner & Smith in Chattanooga, Tennessee, has agreed to a FINRA fine and […]