According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Licari (Licari), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Licari 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 Richard Ciraco (Ciraco), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciraco 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 Rabulan (Rabulan), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one regulatory event, alleging that Rabulan 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 Johnathan Hagood (Hagood), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Hagood recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Webb (Webb), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one regulatory event, alleging that Webb 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 Louis Pellegriti (Pellegriti), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Pellegriti 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 Albert Foronda (Foronda), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Foronda 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 Adam Phillipich (Phillipich), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Phillipich 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 Patrick Cavanagh (Cavanagh), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Cavanagh 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 Kevin Springstead (Springstead), previously associated with Craft Capital Management LLC, has at least one disclosable event. These events include one regulatory event, alleging that Springstead recommended unsuitable investments in different investment products including debt securities among other…