According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Alfonso (Alfonso), previously associated with Snowden Account Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfonso 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 Ronald Daley (Daley), previously associated with W & s Brokerage Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Daley recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Freeman (Freeman), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Freeman 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 Jay Friedman (Friedman), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 Ronald Russell (Russell), previously associated with Kalos Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Russell 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 Ricky Ferrara (Ferrara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ferrara 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 Rochester (Rochester), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rochester 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 Michael Wenger (Wenger), previously associated with Packerland Brokerage Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wenger 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 Philip Simone (Simone), previously associated with Axa Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Simone recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Duncan Peters (Duncan Peters), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan Peters recommended unsuitable investments in different investment products including…