According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Sodol (Sodol), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Sodol 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 Pasquale Evangelista (Evangelista), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Evangelista recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mckenzie (Mckenzie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckenzie 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 Ralph Stockemer (Stockemer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stockemer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Aabel (Aabel), currently associated with Spire Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aabel 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 William Novack (Novack), previously associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Novack 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 Gerald Ohalloran (Ohalloran), currently associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Ohalloran 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 Kieran Varga (Varga), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Varga 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 Allison Terlip (Terlip), previously associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terlip 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 Liddle (Liddle), previously associated with Landolt Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Liddle recommended unsuitable investments in different investment products including debt securities…