FS Energy and REIT Complaints Continue for former LPL Rep Kevin Houser
Ameriprise Financial Services broker Kevin Houser (CRD# 2513167) is involved in pending customer disputes alleging more than half a million dollars in damages. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 17, 2022, he is currently affiliated with the firm’s branch office in Center Valley, Pennsylvania. Pending Complaints Allege Unsuitable […]
Current and Former Wells Fargo Brokers with Significant Disclosure Histories
MDF Law releases a report identifying current and former associated persons from Wells Fargo Advisors who have significant disclosure histories. The report analyzed data as of January 3, 2023. Individuals who are included in this report are statistically more likely to be involved in a new customer complaint. See “How Widespread and Predictable is Stock […]
Oklahoma Regulators Censured Robert Franden Over Discretionary Trading
Robert Franden (CRD# 2402061), a Tulsa-based broker and investment adviser, was recently sanctioned by securities regulators, according to Financial Industry Regulatory Authority records accessed on November 2, 2021. He was sanctioned in a joint order with Kevin Doyle. If you have complaints regarding investments made with Mr. Franden, call MDF Law at 800-767-8040 for a […]