According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Walesa recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Angel Harker (Angel Harker), currently associated with Holistic Brokerage, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Angel Harker recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Archie Hansley (Hansley), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hansley 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 Jordana Wojnowski (Wojnowski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wojnowski 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 Joseph Beam (Beam), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beam 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 Christopher Norton (Norton), currently associated with Sutter Securities Incorporated / Boustead Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lombardi (Lombardi), currently associated with Sutter Securities Incorporated / Boustead Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lombardi recommended unsuitable investments in different investment products including debt…
Currently financial advisor Robert Sweet (Sweet), currently employed by brokerage firm Independent Financial Group, 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 Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Patatian 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 Huanwei Huang (Huang), currently associated with Glendale Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Huang recommended unsuitable investments in different investment products including debt securities among other allegations…