According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marisol Colomer (Colomer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Colomer 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 Nicholas Brown (Brown), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 Susan Duke (Duke), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Duke 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 Daniel Steiner (Steiner), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner 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 Jonathan Prestridge (Prestridge), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prestridge 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 Shaun Grimaldi (Grimaldi), currently associated with Garden State Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grimaldi 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 Kevin Duffy (Duffy), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duffy recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Therrien (Therrien), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Therrien 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 Loberg (Loberg), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loberg 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 Cook (Cook), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cook recommended unsuitable investments in different investment products including debt…