According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Bonetti (Bonetti), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Bonetti 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 Jeffrey Dixson (Dixson), previously associated with Madison Avenue Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dixson 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 Matthew Childs (Childs), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one regulatory event, alleging that Childs 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 Dunlap (Dunlap), previously associated with Mwa Financial Services Inc., has at least one disclosable event. These events include one regulatory event, alleging that Dunlap 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 Norbert Filian (Filian), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Filian 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 Robert Rose (Rose), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Christoforidis (Christoforidis), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Christoforidis 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 Mark Sullivan (Sullivan), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 Tammy Bowman (Bowman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 Allen Mecham (Mecham), previously associated with Southeast Investments, N.c., Inc., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Mecham recommended unsuitable investments in different investment products including debt securities among other…