According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hayes (Hayes), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 Raleigh Galiano (Galiano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galiano 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 Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Roman (Roman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roman recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Mcwhorter (Mcwhorter), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcwhorter 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 Janet Franco Gordon (Franco Gordon), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Franco Gordon recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hadden (Hadden), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hadden 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 Dobbs (Dobbs), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dobbs 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 Richard Panno (Panno), currently associated with Buckman, Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Panno recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Spickler (Spickler), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spickler recommended unsuitable investments in different investment products including debt…