According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curt Giacobbe (Giacobbe), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Giacobbe recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Levy (Levy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Levy 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 Pasquale Vitucci (Vitucci), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Vitucci recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Markland (Markland), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markland 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 Joseph Miecuna (Miecuna), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miecuna 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 Young Kim (Kim), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 Katrina Hayes (Hayes), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 Angelita Fuentes (Fuentes), currently associated with Voya Investments Distributor, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fuentes 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 Andrew Olson (Olson), previously associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 Bruggemann (Bruggemann), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruggemann recommended unsuitable investments in different investment products including debt securities among other…