According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Purcell (Purcell), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Purcell 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 Alex Paredes Malaga (Paredes Malaga), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Paredes Malaga recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Braulick (Braulick), currently associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Braulick 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 Juan Gauna (Gauna), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Gauna recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Doiron (Doiron), currently associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Doiron 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 Timothy Jefferson (Jefferson), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Jefferson recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Biosca (Biosca), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Biosca 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 Sheree Ziemba (Ziemba), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ziemba 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 Jonathan Barter (Barter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barter 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 Nicholas Tsikitas (Tsikitas), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Tsikitas recommended unsuitable investments in different investment products including debt securities among other allegations…