According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angelo Talebi (Talebi), previously associated with Independent Financial Group, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Talebi 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 Bruce Beetz (Beetz), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Beetz 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 David Taddeo (Taddeo), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Taddeo 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 Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Wong 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 Jin Lim (Lim), previously associated with Barclays Capital Inc., has at least one disclosable event. These events include one tax lien, alleging that Lim 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 Brittani Schaefer (Schaefer), previously associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schaefer 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 Justin Bjerke (Bjerke), currently associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Bjerke 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 George Terlizzi (Terlizzi), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Terlizzi 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 Joseph Beam (Beam), previously associated with Capital Investment Group, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Beam 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 Magdalena Woroniecki (Woroniecki), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Woroniecki recommended unsuitable investments in different investment products including debt securities among other allegations…