According to BrokerCheck records financial advisor Stephen Carver (Carver), formerly employed by Lifemark Securities Corp. (Lifemark Securities) and Cetera Advisors LLC (Cetera Advisors) has been subject to at least two customer complaints, one regulatory complaint, three employment terminations for cause, and three tax liens. According to records kept by The…
According to BrokerCheck records financial advisor Robert Salles (Salles), currently employed by Herbert J. Sims & Co, Inc. (Herbert J. Sims) has been subject to at least six customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Salles customer complaints allege that Salles made…
According to BrokerCheck records financial advisor Scott Mass (Mass), currently employed by David Lerner Associates, Inc. (David Lerner) has been subject to five customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Mass’ customer complaints allege that Mass made unsuitable recommendations in a variety…
According to BrokerCheck records financial advisor Ricky Mantei (Mantei), currently employed by Centaurus Financial, Inc. (Centaurus Financial) has been subject to eight customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Mantei’s customer complaints allege that Mantei made unsuitable recommendations in certain corporate debt…
According to BrokerCheck records financial advisor Ronald Walker (Walker), currently employed by NYLife Securities LLC (NYLife) has been subject to five customer complaints during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Walker concern allegations over variable annuity sales…
According to BrokerCheck records financial advisor Steven Reznik (Reznik), formerly employed by Raymond James Financial Services, Inc. (Raymond James) has been subject to twelve customer complaints during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Reznik concern allegations of unsuitable investments and…
According to BrokerCheck records financial advisor Travis Hughes (Hughes), currently employed by Cetera Advisors LLC (Cetera) has been subject to twelve customer complaints and one employment termination for cause during his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the many of the customer complaints against…
According to BrokerCheck records financial advisor Charla Kabana (Kabana), formerly employed by SagePoint Financial, Inc. (SagePoint) has been subject to one regulatory action, one one employment termination for cause, and multiple financial disclosures during her career. According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action…
According to BrokerCheck records former financial advisor Michael Ralby (Ralby), formerly employed by Morgan Stanley has been subject to eight customer complaints and one regulatory matter in his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Ralby concern allegations of unsuitable…
According to BrokerCheck records financial advisor Michael Pepe (Pepe), currently employed by Ameriprise Financial Services, Inc. (Ameriprise) has been subject to six customer complaints, one criminal matter, and one tax lien in his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against…