According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Campos (Campos), currently associated with D.a. Davidson & Co., has at least one disclosable event. These events include one customer complaint, alleging that Campos 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 Christopher Arnella (Arnella), currently associated with Morgan Stanley, has at least one disclosable event. These events include one regulatory, alleging that Arnella 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 James Lucas (Lucas), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Lucas 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 Ali Taj (Taj), previously associated with Talley & Company, has at least one disclosable event. These events include one tax lien, alleging that Taj 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 Angela Zachman (Zachman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zachman 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 Mark Roberts (Roberts), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 Randy Fox (Fox), previously associated with Gt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 Egan (Egan), previously associated with Western International Securities, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Egan 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 Thomas Rinek (Rinek), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one tax lien, alleging that Rinek 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 Edgardo Cabanillas (Cabanillas), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Cabanillas recommended unsuitable investments in different investment products including debt…