According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Gatts (Gatts), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gatts 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 George Kangas (Kangas), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas 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 Yoon Ji Park (Park), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Park recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grason Lanz (Lanz), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lanz 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 Adam Smith (Smith), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 Adrian Holmes (Holmes), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 Cynthia Barreira (Barreira), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreira 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 Shillin (Shillin), previously associated with A.g.p. / Alliance Global Partners, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Shillin recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Reyes (Reyes), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes 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 Gregory Degraeve (Degraeve), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Degraeve recommended unsuitable investments in different investment products including debt…