Sean Pahut (CRD #: 2954713), a broker registered with LPL Financial, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed […]
Nicholas Olivas (CRD #: 6803146), a broker registered with Raymond James & Associates, allegedly executed unauthorized trades, according to his BrokerCheck record, accessed on March […]
Investor Alleges Ellen Zimmerman’s Recommendations Led to Losses
Mar 30, 2023
Unsuitable Investments
Ellen Zimmerman (CRD #: 2574244), a broker registered with MML Investors Services, allegedly gave unsuitable recommendations, according to her BrokerCheck record, accessed on March 21, […]
Charles Tidey (CRD #: 5903111), a broker registered with Truist Investment Services, allegedly failed to explain the terms of a variable annuity, according to his […]
Jennifer Valley (CRD #: 4372323), a broker registered with Cadaret, Grant, & Company, allegedly failed to fully inform a client about an investment, according to […]
Arturo Bravo (CRD #: 6034780), a broker registered with UBS Financial Services, allegedly failed to properly inform a client, according to his BrokerCheck record, accessed […]
Autocallable Contingent Income Barrier Notes are structured financial products that do not trade on any public exchange, which puts them in a riskier category of […]