According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Shaw (Shaw), currently associated with Osaic Wealth, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Shaw 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 Thomas Swan (Swan), currently associated with Western International Securities, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Swan 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 Lawrence Barrett (Barrett), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 Christina Benton (Benton), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Benton 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 Christopher Coffey (Coffey), previously associated with Allstate Financial Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Coffey recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Maltez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Torres (Torres), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Torres 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 Thomas Lisk (Lisk), currently associated with Realta Equities, Inc., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Lisk 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 William Devine (Devine), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Devine 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 Brian Adams (Adams), currently associated with Carter, Terry & Company, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Adams recommended unsuitable investments in different investment products including debt securities among…