Tag Archives: Customer

Customer Surveys

Customer surveys are very popular in the insurance business, particularly online surveys. Our friend, Guy Kawasaki (see blog home here), has a very helpful post on The Art of Customer Surveys. Guy is the author of one of our favorite … Continue reading

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Next Financial Advisor Charles Doraine Subject to Multiple Customer Complaints

According to BrokerCheck records former financial advisor Charles Doraine (Doraine), currently employed by Next Financial Group, Inc. (Next Financial) has been subject to at least six customer complaints and one regulatory action.  According to records kept by The Financial Industry … Continue reading

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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. November 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) ,  a  stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop Securities)   disclose … Continue reading

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Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. November 2018-Beaumont, TX According to publicly available records Celia Mae Scott , (CRD# 2870484) ,  a  stockbroker who was previously registered with AXA Advisors,  disclose the settlement of a customer dispute .  The Financial Industry … Continue reading

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Brandon Stimpson Subject to Multiple Customer Complaints Over Put Options Trading

According to BrokerCheck records former financial advisor Brandon Stimpson (Stimpson), formerly employed by Allegis Investment Services, LLC (Allegis Investment) has been subject to at least eight customer complaints.  According to records kept by The Financial Industry Regulatory Authority (FINRA), many … Continue reading

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