According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tammaro (Tammaro), currently associated with Kenmar Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tammaro 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 Michael Ryan (Ryan), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Ryan 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 David Sherwood (Sherwood), previously associated with Greenberg Financial Group, has at least one disclosable event. These events include one customer complaint, alleging that Sherwood 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 Kimberly Pennine (Pennine), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennine 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 Michael Wind (Wind), currently associated with John Hancock Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wind 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 Luis Abreu (Abreu), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abreu 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 Alexander Haviland (Haviland), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haviland 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 Christopher Barfoot (Barfoot), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barfoot 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 Suzanne Powell (Powell), previously associated with Wells Fargo Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 Jon Vinge (Vinge), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vinge recommended unsuitable investments in different investment products including debt securities among other…