According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Allex (Allex), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Allex 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 Johnson Andrews (Andrews), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 Shawn Davis (Davis), previously associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Davis 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 Salvatore Pizzimenti (Pizzimenti), previously associated with Worden Capital Management LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Pizzimenti recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Gebron (Gebron), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Gebron 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 Anthony Mediate (Mediate), previously associated with Legend Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mediate 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 Matthew Kane (Kane), currently associated with Keel Point Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 Peter Faggioni (Faggioni), previously associated with Rothschild Lieberman LLC, has at least one disclosable event. These events include one customer complaint, alleging that Faggioni 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 Thomas Beyer (Beyer), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Beyer recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Nuccetelli (Nuccetelli), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nuccetelli recommended unsuitable investments in different investment products including debt securities among other allegations…