According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Daniels (Daniels), previously associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Daniels recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stapleton (Stapleton), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stapleton 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 Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 Richard Widman (Widman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Widman recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Ceffalio (Ceffalio) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Ceffalio was employed by LPL Financial LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro 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 Paul Murray (Murray), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murray recommended unsuitable investments in different investment products including debt…
Currently financial advisor Stephen Mattocks (Mattocks), currently employed by brokerage firm Osaic Wealth, 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 Scot Barringer (Barringer), previously associated with American Trust Investment Services, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Barringer recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison recommended unsuitable investments in different investment products including debt securities among other allegations…