According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bennett (Bennett), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bennett 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 Craig Hauger (Hauger), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hauger 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 Jonathan Vogel (Vogel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vogel 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 Elizabeth Teifer (Teifer), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Teifer recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Solakian (Solakian), currently associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Solakian 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 Rashard Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 Stephen Levin (Levin), previously associated with Corecap Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levin 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 Steven Caparco (Caparco), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caparco 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 Jeremy Rosen (Rosen), previously associated with Nationwide Planning Associates INC., has at least 8 disclosable events. These events include 8 customer complaints, alleging that Rosen 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 Stefan Sikorski (Sikorski), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sikorski recommended unsuitable investments in different investment products including debt securities among other allegations…