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15 Sep 2021, 5:47 am
(Raymond James) has been subject to at least five customer complaints during the course of his career. [read post]
15 Feb 2021, 7:31 am
(Aegis Capital) has been subject to at least three customer complaints during the course of his career. [read post]
18 Oct 2019, 7:17 am
In addition, research has show a disturbing pattern with troublesome brokers where brokers with high numbers of customer complaints are not kicked out of the industry but instead these brokers are sifted to lower quality brokerage firms with loose hiring practices and higher rates of customer complaints. [read post]
6 Sep 2022, 6:37 am
The hearing concerning three customer complaints took only one hearing session to complete. [read post]
28 Apr 2019, 7:22 am
In addition, research has show a disturbing pattern with troublesome brokers where brokers with high numbers of customer complaints are not kicked out of the industry but instead these brokers are sifted to lower quality brokerage firms with loose hiring practices and higher rates of customer complaints. [read post]
9 Dec 2019, 5:34 pm
In August 2017 a customer complained that Schiano violated the securities laws by alleging unsuitable transactions causing $128,541 in damages. [read post]
15 May 2019, 1:24 pm
In addition, research has show a disturbing pattern with troublesome brokers where brokers with high numbers of customer complaints are not kicked out of the industry but instead these brokers are sifted to lower quality brokerage firms with loose hiring practices and higher rates of customer complaints. [read post]
21 May 2019, 6:11 am
(Ameriprise) has been subject to at least six customer complaints during the course of his career. [read post]
22 Jun 2018, 6:56 pm
In November 2017, a customer alleged that Travis placed customer into a variable universal life (VUL) insurance policy that was unsuitable to customer investment needs. [read post]
20 May 2019, 6:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Hobby’s customer complaints allege that Hobby recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
18 May 2023, 11:10 am
In March 2022 a customer complained that Scott violated the securities laws by alleging that Scott from October 2013 to the present, Scott made poor recommendations, misrepresented and overconcentrated the customers accounts in unsuitable, illiquid and risky investments. [read post]
11 Aug 2017, 1:56 pm
Customers beware! [read post]
20 Jan 2015, 6:50 am
FINRA rules require firms, and brokers, to report certain customer complaints on the broker's Form U-4 within 30 days of receipt of the complaint. [read post]
13 Aug 2015, 8:04 pm
That’s why federal CX professionals must stop guessing about how to improve and instead understand exactly what makes an experience great for their customers. [read post]
5 Jun 2021, 9:36 pm
Patent and Trademark Office will be holding its next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting, as a virtual meeting, on June 15 and 16, 2021. [read post]
5 May 2019, 9:55 pm
Patent and Trademark Office will be holding its next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting on May 8, 2019 at the USPTO Headquarters in Alexandria, VA, and the Midwest Regional Office in Detroit, MI. [read post]
22 Jul 2017, 8:11 pm
Patent and Trademark Office will be holding its next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting on Wednesday, August 2, 2017. [read post]
26 Mar 2022, 7:57 pm
Patent and Trademark Office will be holding its next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting, as a virtual meeting, on March 29, 2022. [read post]
7 Dec 2021, 1:50 pm
Customs Informed Compliance Publications https://www.cbp.gov/trade/rulings/informed-compliance-publications CBP has a number of Informed Compliance Publications (ICPs) in the "What Every Member of the Trade Community Should Know About: ... [read post]
29 Aug 2015, 8:17 pm
Patent and Trademark Office will be holding its next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting on Monday, September 14, 2015. [read post]
