According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Thompson (Thompson), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 Mark Feliciano (Feliciano), currently associated with Bankers Life Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feliciano 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 Daryle Coppedge (Coppedge), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Coppedge 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 Primo Bushati (Bushati), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bushati 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 Jack Michaletz (Michaletz), currently associated with Dai Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Michaletz 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 Nicholas Kraiko (Kraiko), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kraiko recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Wada (Wada), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wada 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 Carmine Berardi (Berardi), previously associated with First Standard Financial Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Berardi recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Szeszulski (Szeszulski), currently associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Szeszulski 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 David Becker (Becker), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Becker recommended unsuitable investments in different investment products including debt securities among other…