According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Knight (Knight), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Knight recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Dalewitz (Dalewitz), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dalewitz recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Goldsmith (Goldsmith), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldsmith recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Hindman (Hindman), previously associated with Intervest International Equities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hindman 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 Maneesh Gupta (Gupta), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Gupta 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 Logan Shalmi (Shalmi), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Shalmi 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 Harrison Bauman (Bauman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bauman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Lopera Guevara (Lopera Guevara), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopera Guevara recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gillette (Gillette), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillette recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Mahd (Mahd), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mahd recommended unsuitable investments in different investment products including debt securities among other…