According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Edelman (Edelman), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Edelman 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 Nathaniel Adams (Adams), previously associated with Aag Capital, Inc, has at least one disclosable event. These events include one regulatory event, alleging that Adams 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 Jason Kurtz (Kurtz), previously associated with U.S. Bancorp Investments, INC., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Kurtz 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 Doug Mckelvey (Mckelvey), previously associated with Morgan Stanley, has at least one disclosable event. These events include one regulatory event, alleging that Mckelvey 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 Lina Garcia (Garcia), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Garcia 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 John Cangialosi (Cangialosi), previously associated with Sw Financial, has at least one disclosable event. These events include one regulatory event, alleging that Cangialosi 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 James Tighe (Tighe), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Tighe recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Sullivan (Sullivan), previously associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one regulatory event. Several of those complaints against Sullivan concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Dailey (Dailey), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dailey 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 Charles Wodrich (Wodrich), previously associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Wodrich recommended unsuitable investments in different investment products including debt securities among…