According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Tipton (Tipton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tipton recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Addo (Addo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Addo 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 Alexander Gorman (Gorman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gorman 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 Myrsa Acevedo (Acevedo), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Acevedo recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jie Zheng (Zheng), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zheng 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 Steven Nielsen (Nielsen), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nielsen 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 Chris Dibari (Dibari), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dibari 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 Athanasios Tomaras (Tomaras), currently associated with R. F. Lafferty & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Tomaras recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 Philip Jefferson (Jefferson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jefferson recommended unsuitable investments in different investment products including debt securities among…