According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Friedman (Friedman), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 Christopher Hasbrouck (Hasbrouck), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hasbrouck recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nelson (Nelson), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 Daniel Wyson (Wyson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Wyson 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 Martellaro (Martellaro), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martellaro 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 Jeanpierre Ayala (Ayala), currently associated with I-bankers Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ayala 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 Vanessa Perez Fernandez (Perez Fernandez), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez Fernandez recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 James Senderling (Senderling), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senderling 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 Jeffrey Gundrum (Gundrum), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gundrum recommended unsuitable investments in different investment products including debt securities among other allegations…