According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Wurzer (Wurzer), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wurzer 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 Thomas Sullivan (Sullivan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 Daniel Quesada (Quesada), currently associated with Oak Tree Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quesada 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 Philip Incorvia (Incorvia), previously associated with Henley & Company LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Incorvia 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 Aramis Guerin (Guerin), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Guerin 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 Jared Colao (Colao), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Colao 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 Nick Abramovich (Abramovich), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Abramovich 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 Biaggio Caroleo (Caroleo), previously associated with Sw Financial, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Caroleo 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 Warren Rogers Ii (Rogers Ii), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers Ii recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lianzo (Lianzo), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lianzo recommended unsuitable investments in different investment products including debt securities among…