According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Nunez (Nunez), previously associated with Allstate Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Nunez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Anderson (Anderson), previously associated with Pruco Securities, LLC., has at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory events, alleging that Anderson recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mirolli (Mirolli), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mirolli 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 David Hixon (Hixon), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hixon recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lopinto (Lopinto), previously associated with Worden Capital Management LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Lopinto recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howell Ferguson (Ferguson), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ferguson recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Flynn (Flynn), previously associated with Trident Partners Ltd., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Flynn recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Khezri (Khezri), previously associated with Network 1 Financial Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Khezri recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Queen (Queen), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Queen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Elsoffer (Elsoffer), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Elsoffer recommended unsuitable investments in different investment products including…