According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Smith (Smith), currently associated with Smith, Brown & Groover, Inc., has at least one disclosable event. These events include one regulatory, alleging that Smith 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 Chase Naccarato (Naccarato), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Naccarato 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 Joel Minner (Minner), previously associated with American Global Wealth Management, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Minner recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devin Patel (Patel), currently associated with Sanford C. Bernstein & Co., LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Patel recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Moore (Moore), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 John Cutrone (Cutrone), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Cutrone 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 Annette Jensen (Jensen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Jensen 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 Joshua Jenkins (Jenkins), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkins recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Miles (Miles), previously associated with Green Vista Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miles 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 Nicole Turosky (Turosky), currently associated with Osaic Institutions, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Turosky recommended unsuitable investments in different investment products including debt securities among other allegations…