According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chadwick Collins (Collins), currently associated with Wedbush Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Collins 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 Vladimir Greben (Greben), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greben 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 Paul Shie (Shie), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Shie 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 Walter Parker (Parker), previously associated with Titan Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Parker 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 Thomas Pandolph (Pandolph), previously associated with Allegheny Investments, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Pandolph 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 Jeffrey Morand (Morand), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morand 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 Michael Lee (Lee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 William Baffuto (Baffuto), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baffuto 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 John Zaffarano (Zaffarano), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zaffarano 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 David Mulford (Mulford), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mulford recommended unsuitable investments in different investment products including debt securities among other…