According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ceffalio 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 Jason Lowther (Lowther), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowther 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 Stephen Fortin (Fortin), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fortin 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 Robert Leverte (Leverte), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Leverte recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Shanoyan (Shanoyan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Shanoyan recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Keenan (Keenan), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Keenan 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 Michael Greenfield (Greenfield), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greenfield 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 Angela Bender (Bender), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bender 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 Michael Murray (Murray), currently associated with Laidlaw & Company (uk) Ltd., has at least 3 disclosable events. These events include one customer complaint, 2 tax liens, alleging that Murray recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Blake (Blake), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blake recommended unsuitable investments in different investment products including debt securities among other…