Close

Securities Lawyers Blog

Updated:

Broker Shalom Azar in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azar recommended unsuitable investments in different investment products including debt securities…

Updated:

Broker Sailesh Mehta in Equitable Advisors, LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sailesh Mehta (Mehta), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mehta recommended unsuitable investments in different investment products including debt securities among other allegations…

Updated:

There are Recent Customer Complaints with Broker Eric Bernhard in Firm Nylife Securities LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bernhard (Bernhard), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernhard recommended unsuitable investments in different investment products including debt securities among other allegations…

Updated:

Broker Kenneth Hast in Realta Equities, INC. Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Hast (Hast), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hast recommended unsuitable investments in different investment products including debt securities among other allegations…

Updated:

There are Recent Customer Complaints with Broker Bernadette Baumgarten in Firm Nylife Securities LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernadette Baumgarten (Baumgarten), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgarten recommended unsuitable investments in different investment products including debt securities among other allegations…

Updated:

Broker Alexander Fischman in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fischman recommended unsuitable investments in different investment products including debt securities…

Updated:

Broker Drew Peacock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peacock recommended unsuitable investments in different investment products including debt securities among other…

Updated:

There are Recent Customer Complaints with Broker Jason Juhl in Firm Cetera Advisor Networks LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Juhl (Juhl), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Juhl recommended unsuitable investments in different investment products including debt securities among other…

Updated:

Broker Matthew Iacono in Morgan Stanley Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Iacono (Iacono), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Iacono recommended unsuitable investments in different investment products including debt securities among other allegations and…

Updated:

Broker Gaffar Chowdhury in MML Investors Services, LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaffar Chowdhury (Chowdhury), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chowdhury recommended unsuitable investments in different investment products including debt securities among other…

Contact Us