According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bushkin (Bushkin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushkin recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Barbara Ralston (Ralston), currently employed by brokerage firm Kovack Securities INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Wilson (Wilson), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 Dennis Oleszkowicz (Oleszkowicz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oleszkowicz 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 Wayne Trahms (Trahms), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trahms 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 August Ferretti (Ferretti), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ferretti 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 Cosmin Cotet (Cotet), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cotet 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 Hector Flores (Flores), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Flores recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Post (Post), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Post 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 Jordan Micklow (Micklow), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Micklow recommended unsuitable investments in different investment products including debt securities among other allegations and…