According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stoyeck (Stoyeck), previously associated with Titus Rockefeller, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stoyeck recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Lee (Lee), currently associated with Thoroughbred 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 Francis Searing (Searing), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Searing 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 James Mcisaac (Mcisaac), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mcisaac 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 Scarlett Ramsey (Ramsey), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ramsey recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Roque (Roque), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Roque 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 Roy Pfeffer (Pfeffer), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pfeffer 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 Phillip Midas (Midas), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Midas recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Schiel (Schiel), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiel 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 Steven Vander Velde (Vander Velde), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vander Velde recommended unsuitable investments in different investment products including debt…