According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Pandolph (Pandolph), previously associated with Allegheny Investments, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Pandolph 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 Morand (Morand), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morand 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 Michael Lee (Lee), previously associated with Ameriprise Financial Services, 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 William Baffuto (Baffuto), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baffuto 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 John Zaffarano (Zaffarano), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zaffarano 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 William Brown (Brown), currently associated with Richard James & Associates, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Brown concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mulford (Mulford), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mulford 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 Patrick Cross (Cross), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Cross 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 Yanique Anderson (Anderson), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Petyak (Petyak), currently associated with Calton & Associates, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Petyak concern allegations of high frequency trading…