According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Defilippo (Defilippo), currently associated with Revere Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defilippo 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 Stephan Edwards (Edwards), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Edwards 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 Jacqueline Fix (Fix), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fix 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 Gregory Mueller (Mueller), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mueller 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 Brian Brown (Brown), previously associated with X-change Financial Access, LLC, has at least one disclosable event. These events include one tax lien, alleging that Brown 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 Daniel Hamlet (Hamlet), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamlet 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 Anthony Cottone (Cottone), previously associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cottone 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 Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 27 disclosable events. These events include 27 customer complaints, alleging that Barouti 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 Suihock Goy (Goy), currently associated with Ni Advisors, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Goy 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 Terry Dean (Dean), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dean recommended unsuitable investments in different investment products including debt securities among other…