According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Mackay (Mackay), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mackay 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 Jorge Pesquera (Pesquera), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pesquera 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 Friedman (Friedman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 Charles Dowds (Dowds), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowds 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 Anthony Cristiano (Cristiano), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cristiano 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 Steven Lasky (Lasky), currently associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lasky 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 Guy Harrigan (Harrigan), previously associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrigan 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 Richard Hohol (Hohol), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hohol 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 Robert Eisenberg (Eisenberg), previously associated with Osaic Fa, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eisenberg 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 Randolph Peters (Peters), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters recommended unsuitable investments in different investment products including debt securities among other allegations…