According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rydell (Rydell), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rydell recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Barranco (Barranco) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Barranco was employed by LPL Financial LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fisher (Fisher), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fisher 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 William Benjamin Herritage (Herritage), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herritage 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 Ted Candella (Candella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Candella recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ron Phillips (Phillips), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 Petrizzo (Petrizzo), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Petrizzo recommended unsuitable investments in different investment products including debt…
Currently financial advisor Robert Tatum (Tatum), currently employed by brokerage firm LPL Financial 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 as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Callahan (Callahan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Callahan 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 Stewart Conover (Conover), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Conover recommended unsuitable investments in different investment products including debt securities among other…