According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Rotfeld (Rotfeld), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rotfeld 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 Ronald Segon (Segon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segon 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 Manuel Paredes (Paredes), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Maguire (Maguire), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maguire 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 William Platt (Platt), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Platt 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 Salter (Salter), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salter 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 Warynex Hernandez (Hernandez), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hernandez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Murray (Murray), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 Samuel Coquillard (Coquillard), previously associated with Pacific Global Fund Distributors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coquillard recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burns (Burns), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations…