According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Wada (Wada), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wada recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Valdini (Valdini), previously associated with Joseph Stone Capital L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Valdini concern allegations of high frequency trading…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Mcmahan (Mcmahan), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Mcmahan’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Berardi (Berardi), previously associated with First Standard Financial Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Berardi recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Szeszulski (Szeszulski), currently associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Szeszulski 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 David Becker (Becker), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Becker 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 Timothy Seymour (Seymour), previously associated with the Benchmark Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seymour 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 Mark Wolanyk (Wolanyk), previously associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wolanyk 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 Ben Putman (Putman), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Putman 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 Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson recommended unsuitable investments in different investment products including debt securities among other…