According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aret Gugin (Gugin), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gugin 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 Ronald Smith (Smith), previously associated with Pts Brokerage, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Smith 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 Tammie Farrell (Farrell), currently associated with Capital Investment Group, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Farrell 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 Gimeli (Gimeli), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gimeli 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 Holly (Holly), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holly 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 Mary Beslagic (Beslagic), previously associated with Edward Jones, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Beslagic 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 Sean Mccabe (Mccabe), currently associated with Network 1 Financial Securities Inc., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Mccabe recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Christman (Christman), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Christman 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 Eric Stone (Stone), previously associated with Fidelity Brokerage Services LLC, has at least 3 disclosable events. These events include 2 customer complaints, one tax lien, alleging that Stone recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Rugnetta (Rugnetta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rugnetta recommended unsuitable investments in different investment products including debt…