According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Richard Maas (Maas), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Maas concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kazan (Kazan), previously associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kazan recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony Salerno (Salerno), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Salerno’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynda Tucker (Tucker), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tucker 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 Bryan Kupchik (Kupchik), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kupchik 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 Timothy Albert (Albert), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albert 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 Robin Saleeby (Saleeby), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saleeby 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 Drew Pickard (Pickard), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pickard 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 Gerald Roth (Roth), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Roth recommended unsuitable investments in different investment products including debt securities among other…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Lawrence Catena (Catena), currently employed by Morgan Stanley has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Catena’s most recent…