According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Caldwell (Caldwell), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 Kyle Steibel (Steibel), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Steibel 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 Patrick Thayer (Thayer), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one regulatory event, alleging that Thayer 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 Benny Ongkobudidjojo (Ongkobudidjojo), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ongkobudidjojo 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 Blaszyk (Blaszyk), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blaszyk recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Golding (Golding), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one regulatory event, alleging that Golding 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 Hector Hernandez (Hernandez), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Hernandez 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 Eduardo Sotomayor Alamo (Sotomayor Alamo), currently associated with Pariter Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sotomayor Alamo recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Aizin (Aizin), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Aizin 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 Jeffrey Paladini (Paladini), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Paladini recommended unsuitable investments in different investment products including debt securities among other allegations and…