According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Garrido (Garrido), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Garrido recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Duffy (Duffy), previously associated with Innovation Partners LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Duffy 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 Anthony Bottini (Bottini), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Bottini recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcel Pahmer (Pahmer), previously associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Pahmer 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 Ronald Thompson (Thompson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 Kevin Kenney (Kenney), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kenney 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 Nicholas Jembelis (Jembelis), currently associated with David Lerner Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jembelis 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 Eric Wood (Wood), currently associated with Huntleigh Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Wood 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 Chapman (Chapman), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chapman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kelly (Kelly), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations…