According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karandos (Karandos), previously associated with Dinosaur Financial Group, L.l.c, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Karandos recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Izhar Shefer (Shefer), previously associated with Apw Capital, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Shefer recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Gatto (Gatto), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Gatto recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parrelly (Parrelly), previously associated with Investment Planners, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Parrelly recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pratt (Pratt), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pratt recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Hansen (Hansen), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Hansen recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Melilli (Melilli), previously associated with Cambridge Investment Research, INC., has at least 5 disclosable events. These events include 2 customer complaints, 3 regulatory events, alleging that Melilli recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Basford (Basford), previously associated with David Lerner Associates, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Basford recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcneil (Mcneil), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mcneil recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Daughtry (Daughtry), previously associated with Kestra Investment Services, LLC, has at least 7 disclosable events. These events include 5 customer complaints, 2 regulatory events, alleging that Daughtry recommended unsuitable investments in different investment products including debt…