According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Lopez (Lopez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lopez recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Person (Person), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Person 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 Michelle Yang (Yang), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Yang 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 Nouachi Vang (Vang), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vang 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 Rafael Fernandez (Fernandez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Fernandez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Armando Barron (Barron), previously associated with Irc Securities LLC, has at least one disclosable event. These events include one tax lien, alleging that Barron 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 Pamela Calhoun (Calhoun), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Calhoun 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 Stacy Spearman (Spearman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spearman 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 Norman Harp (Harp), currently associated with B.b. Graham & Company, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Harp recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raia (Raia), currently associated with Moloney Securities Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raia recommended unsuitable investments in different investment products including debt securities among other…