According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Fochi (Fochi), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one tax lien, alleging that Fochi 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 B. David Goldstein (Goldstein), currently associated with Osaic Wealth, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Goldstein 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 Mccloskey (Mccloskey), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccloskey 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 Christian Plaza (Plaza), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Plaza 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 Christopher Gardella (Gardella), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gardella 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 Jonathon Frey (Frey), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frey 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 Stephen Rabinowitz (Rabinowitz), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rabinowitz 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 Darren Ofsink (Ofsink), previously associated with Primary Capital, LLC, has at least one disclosable event. These events include one tax lien, alleging that Ofsink 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 Timothy Hendricks (Hendricks), previously associated with X-change Financial Access, LLC, has at least one disclosable event. These events include one tax lien, alleging that Hendricks 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 Kalomira Zangoulos (Zangoulos), previously associated with Sagepoint Financial, Inc., has at least one disclosable event. These events include one tax lien, alleging that Zangoulos recommended unsuitable investments in different investment products including debt securities among other allegations…