According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dow (Dow), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Dow 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 Pecoraro (Pecoraro), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pecoraro 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 Zwi Pechthalt (Pechthalt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pechthalt 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 Patrick Jordan (Jordan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jordan 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 Ian Greenblatt (Greenblatt), currently associated with Capitol Securities Management, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Greenblatt 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 John Shortal (Shortal), currently associated with Moloney Securities Co., Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Shortal 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 Siek (Siek), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Siek 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 Gilbert Kuta (Kuta), currently associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kuta 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 Heck (Heck), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heck 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 Schlagheck (Schlagheck), previously associated with Cape Securities Inc., has at least 7 disclosable events. These events include 6 customer complaints, one regulatory, alleging that Schlagheck recommended unsuitable investments in different investment products including debt securities among…