According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Romer (Romer), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romer 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 Steros Christoforou (Christoforou), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Christoforou 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 Rene Bolivar (Bolivar), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one regulatory event, alleging that Bolivar 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 Reginald Rabb (Rabb), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Rabb recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shabri Moore (Moore), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 Steven Netzel (Netzel), previously associated with Madison Avenue Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Netzel recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dipietro (Dipietro), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dipietro 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 Frank Aguilar (Aguilar), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aguilar 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 John Femiano (Femiano), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Femiano 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 Scott Kemps (Kemps), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemps recommended unsuitable investments in different investment products including debt securities among other…