According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raul Benitez (Benitez), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Benitez recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hegstrom (Hegstrom), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hegstrom 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 Michael Velazquez (Velazquez), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Velazquez 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 Matias Cavalieri (Cavalieri), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Cavalieri 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 Thomas Geissler (Geissler), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geissler 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 Thomas Barbaccia (Barbaccia), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbaccia 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 Suzette Lawrence (Lawrence), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lawrence 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 Thomas Watts (Watts), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watts recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Casterline (Casterline), previously associated with Delta Securities Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casterline 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 Patrick Kenney (Kenney), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kenney recommended unsuitable investments in different investment products including debt securities among other…