According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Meyers (Meyers), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 Shan Diao (Diao), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diao 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 Glovna (Glovna), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glovna 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 Jonathan Massey (Massey), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Massey 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 Pasquale Capone (Capone), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Capone recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Cox (Cox), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 Hafner (Hafner), currently associated with Next Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hafner 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 Thomas Kudarauskas (Kudarauskas), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kudarauskas 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 William Hennion (Hennion), currently associated with Hennion & Walsh, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hennion 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 James Minich (Minich), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Minich recommended unsuitable investments in different investment products including debt securities among other…