According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alain Ohayon (Ohayon), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ohayon 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 Richard Belz (Belz), currently associated with R. F. Lafferty & Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Belz recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Caldwell (Caldwell), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 Jason Salmon (Salmon), currently associated with Fnex Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Salmon 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 Dwight Kay (Kay), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kay 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 Eva Ovejero (Ovejero), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ovejero recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Michalski (Michalski), currently associated with Laidlaw & Company (uk) Ltd., has at least 3 disclosable events. These events include one customer complaint, 2 tax liens, alleging that Michalski recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Huanwei Huang (Huang), currently associated with Glendale Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Huang 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 Iliasser Arias (Arias), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arias recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Williams (Williams), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations…