According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heather Devito (Devito), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Devito 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 Sherri Desjardins (Desjardins), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Desjardins 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 Aaron Davis (Davis), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis 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 Juan Goytia (Goytia), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Goytia recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowry 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 Ricardo Eboli Kodesh (Eboli Kodesh), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Eboli Kodesh recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Vetensky (Vetensky), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vetensky 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 Ian Formigle (Formigle), previously associated with Crowdstreet Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Formigle 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 Thomas Garity (Garity), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Garity 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 Brett Hartvigson (Hartvigson), previously associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hartvigson recommended unsuitable investments in different investment products including debt…