According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kelly (Kelly), previously associated with Center Street Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Kelly 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 Susan Cruz (Cruz), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cruz 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 Hiles (Hiles), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hiles 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 Dale Norton (Norton), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 Richard Braverman (Braverman), currently associated with Geneos Wealth Management, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Braverman 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 Jed Tinder (Tinder), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tinder 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 Scott Palmer (Palmer), previously associated with Janney Montgomery Scott LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Palmer 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 Donald Kowalsky (Kowalsky), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kowalsky 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 Anthony Didonna (Didonna), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Didonna recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tarek Mohamed (Mohamed), previously associated with Bankers Life Securities, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Mohamed recommended unsuitable investments in different investment products including debt…