According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Martinez Parsi (Martinez Parsi), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez Parsi recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Hartley (Hartley), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Hartley recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Follis (Follis), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Follis recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Ewert (Ewert), currently associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Ewert recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Carrasco (Carrasco), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Carrasco 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 Ayad Saad (Saad), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Saad 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 Stephen Stanford (Stanford), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stanford 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 Freddie Barbour (Barbour), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barbour 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 Robert Fagan (Fagan), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fagan 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 George Burmann (Burmann), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burmann recommended unsuitable investments in different investment products including debt securities among other…