According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Krauss (Krauss), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krauss 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 Joseph Sheperis (Sheperis), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sheperis 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 John Fronckowiak (Fronckowiak), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fronckowiak 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 Patrick Sizemore (Sizemore), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Sizemore 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 Fermin Mesina (Mesina), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mesina 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 Gerald Coyne (Coyne), previously associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Coyne 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 Steven Skipper (Skipper), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skipper 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 Aileen Low (Low), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Low recommended unsuitable investments in different investment products including debt securities among other allegations and…
Currently financial advisor Robert Li (Li), currently employed by brokerage firm LPL Financial LLC 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 as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rey Medina Velez (Medina Velez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina Velez recommended unsuitable investments in different investment products including debt…