According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruben Trujillo (Trujillo), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Trujillo 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 Hoile (Hoile), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hoile recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shaughnessy (Shaughnessy), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaughnessy 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 Sharif Sharif (Sharif), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 tax liens, alleging that Sharif 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 Todd Luft (Luft), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one tax lien, alleging that Luft 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 Hamilton (Hamilton), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one tax lien, alleging that Hamilton 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 Debbie Cavanaugh (Cavanaugh), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one tax lien, alleging that Cavanaugh 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 Timothy Tremblay (Tremblay), currently associated with Centaurus Financial, Inc., has at least 4 disclosable events. These events include 3 customer complaints, one tax lien, alleging that Tremblay recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ellis (Ellis), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ellis 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 Joel Marks (Marks), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marks recommended unsuitable investments in different investment products including debt securities among other…