According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cristobal Flanagan Margozzini (Flanagan Margozzini), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Flanagan Margozzini recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Gandolfi (Gandolfi), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gandolfi 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 Volini (Volini), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volini 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 Brian Casey (Casey), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casey 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 Anne Martin Gash (Martin Gash), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin Gash recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barbuto (Barbuto), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbuto recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Kim (Kim), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kim recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarabjeet Thapar (Thapar), currently associated with World Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thapar 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 Ushir Mehta (Mehta), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mehta recommended unsuitable investments in different investment products including debt securities among other allegations…