According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Filipovits (Filipovits), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filipovits 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 Nicole Alexander Duvall (Alexander Duvall), currently associated with Mwa Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Alexander Duvall recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Valdes (Valdes), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 Steven Cho (Cho), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cho recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronan Gaudario (Gaudario), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaudario 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 Raymond Kubick (Kubick), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kubick 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 Jacob Shapira (Shapira), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shapira 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 Barbara Meyers (Meyers), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 Steven Junis (Junis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Junis 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 Lynn Morris (Morris), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Morris recommended unsuitable investments in different investment products including debt securities among other allegations…