According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Coria (Coria), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coria 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 Richard Mcfarland (Mcfarland), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 Edward Barrett (Barrett), previously associated with Oneamerica Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 Mitchell Manoff (Manoff), currently associated with Corinthian Partners, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Manoff 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 Joseph Shaposhnik (Shaposhnik), previously associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaposhnik 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 Stephen Haskell (Haskell), currently associated with Rm Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haskell 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 Daniel Violante (Violante), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Violante 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 Richard Villa (Villa), currently associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Villa 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 Darcy Dahl (Dahl), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dahl 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 Lora Loving (Loving), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Loving recommended unsuitable investments in different investment products including debt securities among other allegations and…