According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Mcdaniel (Mcdaniel), currently associated with Capital Investment Group, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mcdaniel 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 Raphael Correa (Correa), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Correa 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 Eoghan Shields (Shields), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shields 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 Hamid Derbani (Derbani), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Derbani 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 Anthony 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 Timothy Hawkins (Hawkins), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hawkins 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 Cameron Clark (Clark), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 Patrick Moriarty (Moriarty), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Moriarty 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 Piers Cornelius (Cornelius), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cornelius 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 Raul Mendez (Mendez), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mendez recommended unsuitable investments in different investment products including debt securities among other…