According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Hagenbach (Hagenbach), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hagenbach 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 Britt (Britt), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Britt 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 Anita Lester (Lester), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lester recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Michels (Michels), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Michels recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Barouti recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Russo (Russo), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Russo recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Cirella (Cirella), currently associated with Laidlaw & Company (UK) Ltd., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cirella recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wesselt (Wesselt), previously associated with Fortune Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wesselt 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 Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lefkowitz (Lefkowitz), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Lefkowitz recommended unsuitable investments in different investment products including debt securities among other…