According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Griffith (Griffith), currently associated with Lifemark Securities Corp., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Griffith 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 Andrew Pandis (Pandis), currently associated with Cetera Investment Services LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pandis 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 James Mcarthur (Mcarthur), previously associated with IBN Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mcarthur 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 Craig Thistlethwaite (Thistlethwaite), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 regulatory, alleging that Thistlethwaite recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Camarda (Camarda), previously associated with IBN Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Camarda 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 Walter Valenzuela (Valenzuela), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Valenzuela 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 Richard Wesselt (Wesselt), previously associated with Fortune Financial Services, Inc., has at least 8 disclosable events. These events include 8 customer complaints, alleging that Wesselt 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 Anthony Pitta (Pitta), previously associated with Capital Investment Group, Inc., has at least 12 disclosable events. These events include 12 customer complaints, alleging that Pitta 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 Kip Hutto (Hutto), previously associated with Principal Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Hutto 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 Robert Hillard (Hillard), currently associated with Arlington Securities, Inc., has at least one disclosable event. These events include one regulatory, alleging that Hillard recommended unsuitable investments in different investment products including debt securities among other allegations and…