According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Sullivan (Sullivan), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Sessoms (Sessoms), currently associated with Mutual of Omaha Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessoms recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kazlau (Kazlau), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazlau recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristian Hernandez (Hernandez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Manners (Manners), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manners recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Moore (Moore), currently associated with St. Bernard Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Espinoza (Espinoza), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Espinoza recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruben Frezzotti (Frezzotti), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frezzotti recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Knudsen (Knudsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knudsen recommended unsuitable investments in different investment products including debt securities among other allegations…