Henry Jakobsze (CRD #: 2792685), a broker registered with UBS Financial Services, is the subject of an investor dispute. This disclosure appeared on his BrokerCheck […]
Wilson Kwok (CRD #: 5083791), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This disclosure appears on his […]
Stephen Fortin (CRD #: 2320006), a broker registered with Cambridge Investment Research, is the subject of an investor dispute. This disclosure appears on his BrokerCheck […]
Jeffrey Werdesheim (CRD #: 1892046), a broker registered with Oppenheimer & Co. Inc., is the subject of an investor dispute. This disclosure appears on his […]
John Whalen (CRD #: 1900188), a broker registered with Commonwealth Financial Network, is the subject of an investor dispute. This disclosure appears on his BrokerCheck […]
Cynthia Smith Allegedly Recommended an Unsuitable Investment Strategy
Oct 8, 2024
Unsuitable Investments
Cynthia Smith (CRD #: 2386038), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This disclosure appears […]
Rick Salus (CRD #: 1626385), a broker registered with Wells Fargo Clearing Services, is the subject of an investor dispute. This is according to his […]
Patrick Dever (CRD #: 2202204), a broker registered with Stifel, Nicolaus & Company, Incorporated, is the subject of an investor dispute. This disclosure appears on […]
Ignacio Tejera (CRD #: 4422696), a broker registered with Truist Investment Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck […]
Stanley Cooper (CRD #: 1667427), a previously registered broker with RBC Capital Markets, is the subject of a new dispute. This is according to his […]