According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Cabarcas (Cabarcas), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cabarcas 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 Carlos Salazar (Salazar), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salazar 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 Brian Robertson (Robertson), currently associated with Maxim Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 Erik Melville (Melville), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Melville recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burford (Burford), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burford 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 Ranjan Luthra (Luthra), previously associated with U.S. Bancorp Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Luthra 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 Dustin Mikkelsen (Mikkelsen), previously associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mikkelsen 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 Christopher Noonan (Noonan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noonan recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Calvin Franklin (Franklin), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Franklin 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 John Perrette (Perrette), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perrette recommended unsuitable investments in different investment products including debt securities among other…