According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Pridey (Pridey), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pridey recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Pluta (Pluta), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pluta 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 Noel Vincent (Vincent), previously associated with Ele Wealth Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vincent recommended unsuitable investments in different investment products including debt securities among other…
Gana Weinstein’s managing partner, Adam Gana, recently joined Jake Tapper on The Lead with Jake Tapper, discussing the commutation by Donald Trump of the sentence of David Gentile, former CEO of GPB Capital. Gana Weinstein has represented dozens of victims of the GPB fraud, many of whom lost life savings…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Smith (Smith), previously associated with Transamerica Financial Advisors, Inc, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Smith recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Robertazzi (Robertazzi), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Robertazzi recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Thomas (Thomas), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 Alejandro Rodriguez (Rodriguez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 Matthew Divirgilio (Divirgilio), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Divirgilio recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Peter Malone (Malone), currently associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Malone concern allegations of high frequency trading…