According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Delafuente (Delafuente), previously associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delafuente 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 Kevin Klipfel (Klipfel), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klipfel 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 April Waldman (Waldman), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waldman 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 Andrea Klipfel (Klipfel), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klipfel 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 Joseph Latour (Latour), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latour 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 Craig Doyon (Doyon), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Doyon 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 Victor Tomassini (Tomassini), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Tomassini 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 Harold Reinstein (Reinstein), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reinstein 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 Brian Megley (Megley), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Megley 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 John Hoidas (Hoidas), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one regulatory event, alleging that Hoidas recommended unsuitable investments in different investment products including debt securities among…