According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Tang (Tang), previously associated with Globalink Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tang 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 Lawrence Napolitano (Napolitano), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Napolitano 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 Tek Wiegert (Wiegert), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wiegert recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Haggar (Haggar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Haggar 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 Robert Gustafson (Gustafson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 Joseph Altobelli (Altobelli), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altobelli 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 Jammie Avila (Avila), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Avila 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 Nader Gandevani (Gandevani), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gandevani 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 Jason Slezak (Slezak), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slezak 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 Livaccari (Livaccari), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Livaccari recommended unsuitable investments in different investment products including debt securities among other allegations…