According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chay Lapin (Lapin), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lapin 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 Goutam Datta (Datta), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Datta recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcpherson (Mcpherson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 Kirk Badii (Badii), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Badii 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 Joshua Steele (Steele), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Steele 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 Luigi Vultaggio (Vultaggio), currently associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vultaggio 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 Min (Min), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Min 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 Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barouti 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 T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 Harry Yett (Yett), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yett recommended unsuitable investments in different investment products including debt securities among other…