According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Battson (Battson), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Battson 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 Jerome Kusey (Kusey), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kusey 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 Christopher Knutson (Knutson), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Knutson 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 Scott Rosenberg (Rosenberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenberg 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 Rosenblatt (Rosenblatt), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenblatt 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 Damon Stewart (Stewart), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 William Obrien (Obrien), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 John Leonardi (Leonardi), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leonardi 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 Michael Ecker (Ecker), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker 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 William Parse (Parse), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Parse recommended unsuitable investments in different investment products including debt securities among…