According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vikas Goel (Goel), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goel 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 Joseph Lascala (Lascala), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lascala 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 Todd Kalish (Kalish), previously associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kalish 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 Flynn Andrew (Andrew), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrew 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 Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 Bibo (Bibo), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bibo 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 James Kent (Kent), previously associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kent 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 Eric Dec (Dec), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dec 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 Thomas Van Horn (Van Horn), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Horn recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marion Leonberger (Leonberger), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Leonberger recommended unsuitable investments in different investment products including debt securities among other…