According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Libertad Ortiz Contreras (Ortiz Contreras), currently associated with Flourish Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ortiz Contreras recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Roberts (Roberts), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 Matthew Boehm (Boehm), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boehm 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 Jack Riley (Riley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Riley 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 Jeremy Dicker (Dicker), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicker 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 John Donnelly (Donnelly), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Donnelly recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Halkitis (Halkitis), currently associated with the Rockwell Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Halkitis recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Rustad (Rustad), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rustad recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Robert Turner (Turner) 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 Turner was employed by Stifel, Nicolaus &…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Alkes (Alkes), currently associated with Variable Investment Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alkes recommended unsuitable investments in different investment products including debt securities among other…