According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Junis (Junis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Junis 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 Lynn Morris (Morris), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 Claudia Ochoa Espejo (Ochoa Espejo), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ochoa Espejo recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Petrucelli (Petrucelli), previously associated with Tobin & Company Securities LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Petrucelli recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Fallarino (Fallarino), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Fallarino 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 Robert Boyer (Boyer), previously associated with J. Alden Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Boyer recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Brown (Brown), currently associated with Janney Montgomery Scott 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 other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Fordham (Fordham), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fordham recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xiao Qin Komischke (Komischke), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Komischke recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonah Engler (Engler), previously associated with Global Arena Capital CORP, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Engler recommended unsuitable investments in different investment products including debt…