According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Higgins (Higgins), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 Timothy Roark (Roark), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roark 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 Andres Fernandez Salvador (Fernandez Salvador), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez Salvador recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Varshil Sanghavi (Sanghavi), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Sanghavi 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 Robert Eberhard (Eberhard), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eberhard 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 Schmitt (Schmitt), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmitt recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pesce (Pesce), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pesce recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rives Allen (Allen), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Mordujovich (Mordujovich), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mordujovich 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 Jennifer Davis (Davis), previously associated with Kw Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations…