According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Battalini (Battalini), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battalini 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 Mark Elias (Elias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 Mona Fahmy (Fahmy), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fahmy 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 Terri Fassi (Fassi), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fassi 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 Andrew Pravlik (Pravlik), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pravlik 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 Andrew Bellamah (Bellamah), currently associated with Capitol Securities Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bellamah 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 Frank Kuiper (Kuiper), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuiper 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 Aubrey Lee (Lee), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lee recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Tevebaugh (Tevebaugh), previously associated with Next Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tevebaugh 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 Michael Sharenow (Sharenow), previously associated with Wells Fargo Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sharenow recommended unsuitable investments in different investment products including debt securities among other…