According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Blackman (Blackman), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blackman 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 John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Lowry recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Monchik (Monchik), currently associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Monchik recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gustavo Miramontes (Miramontes), previously associated with Oppenheimer & Co. Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Miramontes recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Portilla (Portilla), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Portilla 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 Randy Cowell (Cowell), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cowell recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valentino Scott (Scott), currently associated with Centaurus Financial, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Scott 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 Swinson (Swinson), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Swinson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth New (New), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that New 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 Christopher Arnone (Arnone), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnone recommended unsuitable investments in different investment products including debt securities among…