According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Latte (Latte), currently associated with Vienna Capital Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Latte recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Alvarado (Alvarado), currently associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Alvarado concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Ross (Ross), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 David Macchia (Macchia), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Macchia 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 Dimitri Rassias (Rassias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rassias 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 Douglas Willmore (Willmore), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Willmore 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 Ann Werts (Werts), previously associated with Madison Avenue Securities, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Werts recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Girgis (Girgis), currently associated with Garden State Securities, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Girgis concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Pratt (Pratt), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Pratt 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 Nicholas Taggart (Taggart), currently associated with Imst Distributors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taggart recommended unsuitable investments in different investment products including debt securities among other allegations…