According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reynold Neufeld (Neufeld), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Neufeld 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 Shalom Azar (Azar), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Azar 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 Natalia Avila (Avila), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Avila recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmad Quqa (Quqa), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quqa 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 Ashley Jagoda (Jagoda), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jagoda 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 Alexander Fischman (Fischman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Fischman 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 Timothy Mannino (Mannino), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mannino 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 Patrick Norris (Norris), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norris 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 Benjamin Schick (Schick), currently associated with Cobalt Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schick 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 John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett recommended unsuitable investments in different investment products including debt securities among other allegations…