According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waal (Waal), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waal 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 Christina Lee (Lee), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 Jon Taylor (Taylor), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Kexin Xu (Xu), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Xu 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 Joshua Sievers (Sievers), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sievers 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 Ralph Alezi (Alezi), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alezi recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mitus (Mitus), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mitus 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 Elizabeth Valenti (Valenti), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valenti 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 Ryan Walterhoefer (Walterhoefer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walterhoefer recommended unsuitable investments in different investment products including debt securities among…