According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marty Dennis (Dennis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dennis 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 William Wright (Wright), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wright recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Courser (Courser), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Courser 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 Svetlana Arzhelik (Arzhelik), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Arzhelik 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 Uriel Acevedo (Acevedo), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Acevedo 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 Jeffrey Ingros (Ingros), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ingros recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andre Labarbera (Labarbera), previously associated with Titus Rockefeller, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Labarbera recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Fischer (Fischer), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fischer 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 Craig Hacker (Hacker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hacker recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fratesi (Fratesi), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fratesi recommended unsuitable investments in different investment products including debt securities among other…