According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Maldonado (Maldonado), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Maldonado 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 Christian Zepeda (Zepeda), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Zepeda 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 Nebel (Nebel), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nebel 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 Karl Zimmerman (Zimmerman), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman 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 Ronald Weatherly (Weatherly), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weatherly 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 Nicholas Photiadis (Photiadis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Photiadis 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 Thomas Krueger (Krueger), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Krueger recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Slechta (Slechta), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Slechta 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 Jaime Santiago Echandi (Santiago Echandi), currently associated with First Southern, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Echandi recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Gonzalez Hinds (Gonzalez Hinds), currently associated with First Southern, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez Hinds recommended unsuitable investments in different investment products including debt securities…