According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Butler (Butler), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one regulatory event, alleging that Butler 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 Michael Rosalia (Rosalia), previously associated with Sw Financial, has at least one disclosable event. These events include one regulatory event, alleging that Rosalia 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 Michael Fahsholtz (Fahsholtz), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one regulatory event, alleging that Fahsholtz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gleason (Gleason), previously associated with Ifp Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Gleason 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 Mcgonigle (Mcgonigle), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one regulatory event, alleging that Mcgonigle 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 James Mackellar (Mackellar), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one regulatory event, alleging that Mackellar 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 Andrew Rome (Rome), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rome 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 Kimberly Carson (Carson), previously associated with Principal Securities, INC., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Carson 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 Aramis Perez (Perez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steve Moise (Moise), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one regulatory event, alleging that Moise recommended unsuitable investments in different investment products including debt securities among other…