According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Dever (Dever), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dever recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thomas (Thomas), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 Spangenthal (Spangenthal), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Spangenthal recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Darlington (Darlington), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Darlington 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 Gail Milon (Milon), previously associated with Ele Wealth Advisors, Inc., has at least 2 disclosable events. These events include 2 tax liens, alleging that Milon 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 Ronald Hannes (Hannes), previously associated with Woodbury Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Hannes 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 Scot Barringer (Barringer), currently associated with American Trust Investment Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barringer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Forrester (Forrester), currently associated with Newbridge Securities Corporation, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Forrester 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 Perez-cubero (Perez-cubero), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Perez-cubero 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 Andrew Comans (Comans), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Comans recommended unsuitable investments in different investment products including debt securities among…