According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Bruscianelli (Bruscianelli), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruscianelli 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 Robert Stephens (Stephens), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 Kevin Ross (Ross), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 Simonitis (Simonitis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simonitis 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 Arthur Mcpherson (Mcpherson), currently associated with World Equity Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 Rita Mansour (Mansour), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mansour 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 Lily Li (Li), currently associated with Tigress Financial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Matthew Smith (Smith), previously employed by brokerage firm Arete Wealth Management, LLC 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 Larry Tolbert (Tolbert), currently associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolbert recommended unsuitable investments in different investment products including debt securities among other…