According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lombardi (Lombardi), currently associated with Sutter Securities Incorporated / Boustead Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lombardi recommended unsuitable investments in different investment products including debt…
Currently financial advisor Robert Sweet (Sweet), currently employed by brokerage firm Independent Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Patatian 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 Huanwei Huang (Huang), currently associated with Glendale Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Huang 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 Scott Brooks (Brooks), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brooks 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 Kenneth New (New), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that New 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 Thomas Justice (Justice), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Justice 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 Nader Gandevani (Gandevani), currently associated with Shopoff Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gandevani 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 Jason Baker (Baker), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 John Pescatore (Pescatore), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Pescatore recommended unsuitable investments in different investment products including debt securities among other…