According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Branson (Branson), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Branson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lauletta (Lauletta), previously associated with IBN Financial Services, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Lauletta recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Vizanko (Vizanko), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Vizanko recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christ Baltas (Baltas), previously associated with Worden Capital Management LLC, has at least 6 disclosable events. These events include 3 customer complaints, 3 regulatory events, alleging that Baltas recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Fineman (Fineman), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Fineman recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Calamunci (Calamunci), previously associated with Xnergy Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Calamunci recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Garapedian (Garapedian), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Garapedian recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Nicholas (Nicholas), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 5 disclosable events. These events include one customer complaint, 4 regulatory events, alleging that Nicholas recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Perugino (Perugino), currently associated with Craft Capital Management LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Perugino recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miche Jean (Jean), previously associated with Morgan Stanley, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Jean recommended unsuitable investments in different investment products including debt securities among…