According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Rogers (Rogers), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 Hilgardt Lamprecht (Lamprecht), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lamprecht 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 William Garity Medina (Garity Medina), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Garity Medina recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jirinec (Jirinec), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jirinec 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 Peter Mancuso (Mancuso), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mancuso recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramnarain Jaigobind (Jaigobind), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jaigobind recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Landas (Landas), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landas 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 Charles Giordano (Giordano), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giordano recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Asher Wolmark (Wolmark), previously associated with Kingsbury Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wolmark recommended unsuitable investments in different investment products including debt securities among other allegations…