According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Dulac (Dulac), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Dulac recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Gill (Gill), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gill recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Slone (Slone), currently associated with Mwa Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Slone 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 Bowman Nicholson (Nicholson), currently associated with Capital Investment Group, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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 Jeremy Maurer (Maurer), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maurer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pragnesh Bhatt (Bhatt), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bhatt 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 Cynthia Giovacchino (Giovacchino), currently associated with Osaic Institutions, Inc., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Giovacchino 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 Christopher Duffy (Duffy), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duffy 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 Bradley Vick (Vick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vick 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 Whalen (Whalen), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Whalen recommended unsuitable investments in different investment products including debt securities among other allegations…