According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Madison Morgan (Morgan), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Morgan 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 Simone alfredo Garofalo (Garofalo), previously associated with Cambridge International Securities, LLC, has at least one disclosable event. These events include one tax lien, alleging that Garofalo recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sara Jankowski (Jankowski), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Jankowski recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Peterson (Peterson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Peterson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lino Gutierrez (Gutierrez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Marrero (Marrero), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Marrero 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 Mitchell (Mitchell), currently associated with Bok Financial Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mitchell 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 Cynthia Smith (Smith), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan s Reisfield (Reisfield), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reisfield recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Werdesheim (Werdesheim), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Werdesheim recommended unsuitable investments in different investment products including debt securities among other…