According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Orlando (Orlando), previously associated with Craft Capital Management LLC, has at least 3 disclosable events. These events include 3 regulatory, alleging that Orlando 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 Kim Tran (Tran), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tran 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 Mark Brosa (Brosa), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Brosa recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Shimshidian (Shimshidian), currently associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Shimshidian 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 Ceondre Colvin (Colvin), previously associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Colvin recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Carter (Carter), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 Giordano (Giordano), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Giordano recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Candice Montie (Montie), currently associated with Moloney Securities Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Montie 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 Ginny Colarusso (Colarusso), currently associated with the Jeffrey Matthews Financial Group, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Colarusso recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Oswaldo Ramos (Ramos), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ramos recommended unsuitable investments in different investment products including debt securities among other…