According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicolas Barrios (Barrios), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barrios recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Vincent Mastrovito (Mastrovito), previously employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Graham (Graham), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Mielke (Mielke), currently associated with Stifel, Nicolaus & Company, Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mielke concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Tuma (Tuma), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuma 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 Ammie Mareez De Los Reyes (De Los Reyes), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Los Reyes recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, 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 Bradley Lange (Lange), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lange recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lasher (Lasher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lasher 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 Matthew Biedron (Biedron), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biedron recommended unsuitable investments in different investment products including debt securities among other…