According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Pamela Espinosa (Espinosa), currently associated with Kestra Investment Services, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Espinosa concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Adam Brown (Brown), previously associated with Westpark Capital, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Brown concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Lon Faccini (Faccini), previously associated with Tsg Capital Advisors, has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Faccini concern allegations of high…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Clifford Reid (Reid), currently associated with Reid & Rudiger LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Reid concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Tooke (Tooke), currently associated with Four Points Capital Partners LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Tooke concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Martino (Martino), currently associated with Four Points Capital Partners LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Martino concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Alvarado (Alvarado), currently associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Alvarado concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Girgis (Girgis), currently associated with Garden State Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Girgis concern allegations of high frequency trading…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Rick Davidson (Davidson), currently associated with American Trust Investment Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Davidson concern allegations of high frequency…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Efrain Trujillo (Trujillo), previously associated with Western International Securities, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Trujillo concern allegations of…