According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Munoz (Munoz), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 Shannon Moore (Moore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 Cary Urich (Urich), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urich 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 Anthony Pace (Pace), currently associated with M Holdings Securities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pace recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diana Jimenez Nettleship (Jimenez Nettleship), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Jimenez Nettleship recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Bucher (Bucher), previously associated with San Blas Securities LLC, has at least 7 disclosable events. These events include 6 customer complaints, one regulatory event, alleging that Bucher recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Sica (Sica), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Sica recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Martinsen 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 Myong Park (Park), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Park 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 Randall Mcgill (Mcgill), currently associated with Ausdal Financial Partners, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mcgill recommended unsuitable investments in different investment products including debt securities among other…