According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Rask (Rask), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rask 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 Robert Romain (Romain), currently associated with Corecap Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romain 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 Henrique Lucena (Lucena), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Lucena recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 Najat Rhoni (Rhoni), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhoni 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 Jason Doneth (Doneth), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Doneth 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 Kyle Wool (Wool), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wool 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 R Mitchell Wickham (Wickham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wickham 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 Minehart (Minehart), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Minehart 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 Debra Shultz (Shultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz recommended unsuitable investments in different investment products including debt securities among other allegations…