According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Schultz (Schultz), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schultz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Steiner (Steiner), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner recommended unsuitable investments in different investment products including debt securities among other allegations…
Previously financial advisor Jerrold Borrowman (Borrowman), previously employed by brokerage firm Hornor, Townsend & Kent, INC. 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Ivol (Ivol), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ivol 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 Adam Kozak (Kozak), currently associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kozak 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 Rikin Jobanputra (Jobanputra), currently associated with Joseph Gunnar & CO. LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jobanputra recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Lopresti (Lopresti), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopresti 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 Gregory Lyon (Lyon), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyon 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 Andres Herrera (Herrera), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Herrera 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 Rodrigo Sideris (Sideris), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sideris recommended unsuitable investments in different investment products including debt securities among…