According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Polheber (Polheber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polheber 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 Mark Bushkin (Bushkin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushkin recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Mielke (Mielke), currently associated with Stifel, Nicolaus & Company, Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mielke concern allegations of high frequency…
Currently financial advisor Barbara Ralston (Ralston), currently employed by brokerage firm Kovack Securities INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ammie Mareez De Los Reyes (De Los Reyes), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Los Reyes recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominick Profaci (Profaci), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Profaci 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 Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, 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 Feraas Suleyman (Suleyman), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Suleyman 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 Antonio Hernandez (Hernandez), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez 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 Kevin Houser (Houser), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houser recommended unsuitable investments in different investment products including debt securities among other…