According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Masood Azad (Azad), previously associated with First Allied Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Azad 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 Vincent Villani (Villani), currently associated with PHX Financial, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Villani 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 Robert Paolini (Paolini), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paolini 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 Robert Nevarez (Nevarez), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nevarez 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 Cervantes (Cervantes), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cervantes 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 Levine (Levine), previously associated with First Financial Equity Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levine 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 Scott Brown (Brown), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 Henry Cormier (Cormier), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cormier 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 Thomas Octigan (Octigan), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Octigan 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 Nicholas Wolanyk (Wolanyk), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wolanyk recommended unsuitable investments in different investment products including debt securities among other allegations…