According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Iannacone (Iannacone), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannacone 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 Logan Eitel (Eitel), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Eitel 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 Herrera (Herrera), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Herrera 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 Stanley Bradshaw (Bradshaw), previously associated with Tobin & Company Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bradshaw recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Gibson (Gibson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gibson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julia Flores (Flores), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Flores 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 Michael Haffling (Haffling), previously associated with Arete Wealth Management, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Haffling 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 Jean Matthieu Josse (Josse), previously associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Josse recommended unsuitable investments in different investment products including debt securities…
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…