According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Duggan (Duggan), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Duggan 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 Brian Graham (Graham), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 Jay Hershey (Hershey), currently associated with Piper Sandler & CO., has at least one disclosable event. These events include one customer complaint, alleging that Hershey 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 Thomas Jenkins (Jenkins), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 Vasilios Takos (Takos), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takos 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 Schiavello (Schiavello), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiavello 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 Mark Zorn (Zorn), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zorn 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 Gary Paul (Paul), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paul 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 Morris (Morris), currently associated with Cape Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 Steven Shemirani (Shemirani), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shemirani recommended unsuitable investments in different investment products including debt securities among other…