According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Melendez (Melendez), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one regulatory event, alleging that Melendez recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Roth (Roth), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Roth 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 Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 Patrick Cahill (Cahill), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cahill 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 Tami Lanzisera (Lanzisera), currently associated with Ashton Thomas Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lanzisera 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 James Lombardo (Lombardo), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lombardo 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 Joseph Eisler (Eisler), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one regulatory event, alleging that Eisler 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 Cason (Cason), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cason 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 Barker (Barker), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter recommended unsuitable investments in different investment products including debt securities among other…