According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Paredes Calvo (Paredes Calvo), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes Calvo recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Pflaum (Pflaum), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Pflaum 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 Giuseppe Pulitano (Pulitano), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pulitano 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 Spinosa (Spinosa), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Spinosa 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 Jeffrey Miller (Miller), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 Andrew Raskin (Raskin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raskin 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 David Park (Park), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Park 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 Wagner (Wagner), currently associated with Joseph Gunnar & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagner recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Stricker (Stricker), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stricker 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 Samuel Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations…