According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarah Black (Black), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Black 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 James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Mclarty (Mclarty), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mclarty 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 Timothy Roark (Roark), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roark 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 Good (Good), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Good 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 Jerice Walker (Walker), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walker recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Surage Perera (Perera), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Perera 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 Fino (Fino), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fino 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 Nabil Bouab (Bouab), previously associated with Garden State Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bouab 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 Barreca (Barreca), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreca recommended unsuitable investments in different investment products including debt securities among…