According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alessandro Spinetta (Spinetta), currently associated with Morgan Stanley, has at least one disclosable event. These events include one regulatory, alleging that Spinetta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary beth Spuhler (Spuhler), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one regulatory, alleging that Spuhler 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 Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Lickiss 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 David Jerke (Jerke), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one tax lien, alleging that Jerke 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 Richard Perlongo (Perlongo), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one tax lien, alleging that Perlongo 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 Syauching Hung (Hung), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hung 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 Kevin Reed (Reed), previously associated with U.s. Bancorp Investments, Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Reed recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bowman (Bowman), previously associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Bowman 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 Todd Blessing (Blessing), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Blessing 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 David Geake (Geake), previously associated with American Trust Investment Services, Inc., has at least 27 disclosable events. These events include 25 customer complaints, 2 tax liens, alleging that Geake recommended unsuitable investments in different investment products including…