According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Pelkey (Pelkey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pelkey 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 Salvatore Gambino (Gambino), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Gambino 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 James Pepperman (Pepperman), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pepperman 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 Matthew Kutcher (Kutcher), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kutcher recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hutchingson (Hutchingson), currently associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hutchingson 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 Silvestri (Silvestri), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Silvestri 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 Enyinnaya Kanu (Kanu), currently associated with Capital City Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kanu 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 Scott Wendelin (Wendelin), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wendelin recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Weisman (Weisman), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Weisman 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 Cheryl Kitashima (Kitashima), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kitashima recommended unsuitable investments in different investment products including debt securities among other allegations…