According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Omar Barakat (Barakat), previously associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Barakat 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 Schissler (Schissler), previously associated with Msc – Bd, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Schissler 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 Christopher Reynolds (Reynolds), previously associated with Pruco Securities, Llc., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Reynolds recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grober (Grober), previously associated with Dreyfus Service Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Grober 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 Shailesh Negandhi (Negandhi), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one regulatory event, alleging that Negandhi 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 Valeri (Valeri), previously associated with Templeton/Franklin Investment Services, inc., has at least one disclosable event. These events include one regulatory event, alleging that Valeri 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 Todd Paradise (Paradise), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Paradise recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Barton (Barton), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Barton 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 Stanley Crisci (Crisci), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Crisci 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 Steven Gessner (Gessner), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Gessner recommended unsuitable investments in different investment products…