According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Cunningham (Cunningham), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cunningham recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 Enrique Lopez (Lopez), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 Daniel Lerner (Lerner), currently associated with David Lerner Associates, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lerner 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 Howard Roth (Roth), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roth 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 Baron Jacobs (Jacobs), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobs 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 Rolando Perez (Perez), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez 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 Paradise (Paradise), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paradise 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 Erik Alexander (Alexander), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alexander 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 Mark Martin (Martin), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other allegations and…