According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Loy (Loy), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loy 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 Michael Molinaro (Molinaro), currently associated with Network 1 Financial Securities Inc., has at least 2 disclosable events. These events include 2 tax liens, alleging that Molinaro recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fernando De la vega (De la vega), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that De la vega recommended unsuitable investments…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker B. david Goldstein (Goldstein), currently associated with Osaic Wealth, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Goldstein 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 Reynolds (Reynolds), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reynolds 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 Robert Tracy (Tracy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one tax lien, alleging that Tracy 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 William King (King), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 10 disclosable events. These events include 9 customer complaints, one tax lien, alleging that King recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Miller (Miller), currently associated with Wedbush Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 Hillard (Hillard), currently associated with Arlington Securities, Inc., has at least 2 disclosable events. These events include 2 regulatory, alleging that Hillard 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 Anthony Gallea (Gallea), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gallea recommended unsuitable investments in different investment products including debt securities among other allegations and…