According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arnold I Alpert (Alpert), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Alpert recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Seltzer (Seltzer), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seltzer 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 Koscal (Koscal), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Koscal 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 David Kujawa (Kujawa), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kujawa 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 Nelisha Firestone (Firestone), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Firestone 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 Michael Hebert (Hebert), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Hebert 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 Nicholas Hamilton (Hamilton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 Banks (Banks), previously associated with Private Client Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Banks 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 Lawrence Nack (Nack), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nack 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 Richard Haupt (Haupt), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haupt recommended unsuitable investments in different investment products including debt securities…