According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Lingua (Lingua), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lingua recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Coley Bellamy (Bellamy), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bellamy 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 Leticia Hewko (Hewko), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hewko 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 Chihyu Hsu (Hsu), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsu 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 Raymond Brown (Brown), previously associated with Northwestern Mutual Investment Services, LLC, 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Fieldman (Fieldman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fieldman 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 Brian Btesh (Btesh), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Btesh recommended unsuitable investments in different investment products including…
Currently financial advisor Benjamin Duggan (Duggan), currently employed by brokerage firm Empower Financial Services, 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Rascon (Rascon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rascon 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 Yanette Sullivan (Sullivan), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other…