According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Valenti (Valenti), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valenti 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 Adam Corwin (Corwin), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Corwin 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 William Huff (Huff), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huff recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Schneider (Schneider), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schneider 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 Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 Foti Kanos (Kanos), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kanos recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Sheard (Sheard), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheard 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 Daniel Burkott (Burkott), currently associated with Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC., has at least 2 disclosable events. These events…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Waltz (Waltz), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waltz recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker William Winchester (Winchester) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Winchester was employed by Cadaret, Grant &…