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Tag: discretion

Financial Advisor Jay Clint Tomlinson (R.F. Lafferty & Co., Inc.) Customer Complaints

Jay Clint Tomlinson (CRD#: 2680269) has been a registered broker at R.F. Lafferty & Co., Inc., since 2013. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 11, 2020, Tomlinson was suspended for three months beginning January 4, 2021. He was also fined $7,500 for allegedly using improper discretion […]

Financial Advisor Joseph Woitkoski (Raymond James Financial Services, Inc.) Customer Complaints

Joseph Woitkoski (CRD #4172477) was a Financial Advisor at Raymond James & Associates, Inc. in Pitsfiled, MA, Merrill Lynch, Pierce, Fenner & Smith Incorporated in Albany, NY and UBS Financial Services Inc. in Weehawken, NJ. Joseph Woitkoski was in the securities industry from 1998 to 2018. According to publicly available records released by the Financial […]

Financial Advisor Louis Mark Miller (LPL Financial LLC) Customer Complaints

Louis Mark Miller (CRD # 3054955) was a Financial Advisor at LPL Financial LLC in Jericho, NY.  Louis Miller has been in the securities industry since 1998 and previously worked at Wells Fargo Advisor, LLC and Prudential Securities Incorporated. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2019, […]

Financial Advisor Arlyn Stokesbary (Thrivent Investment Management, Inc.) Customer Complaints

Arlyn Stokesbary (CRD # 1717430) is a former Financial Advisor at Thrivent Investment Management, Inc. in Slayton, MN.  Arlyn Stokesbary has been in the securities industry since 1987 and previously worked at Lutheran Brotherhood Securities, Corp.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2019, FINRA suspended Arlyn […]

Financial Advisor Steven Zerbarini (NEXT Financial Group, Inc.) Customer Complaints

Steven Zerbarini is a former Financial Advisor at Next Financial Group, Inc. in Safety Harbor, FL.  Steven Zerbarini has been in the securities industry since 1997 and previously worked at IDS Life Insurance Company and Ameriprise Financial Services, Inc.  Steven Zerbarini is not currently associated with any FINRA member firm.  According to publicly available records […]

Financial Advisor Richard D. Niemann (UBS Financial Services, Inc.) Customer Complaints

Richard D. Niemann is currently a Financial Advisor at UBS Financial Services Inc. in its Sugar Land, Texas branch office.  Richard Niemann has been in the securities industry since 1971, and previously worked at Merrill Lynch, Lehman Brothers and Salomon Smith Barney. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]