According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bucceri (Bucceri), currently associated with Fortress Private Ledger, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bucceri 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 Meier (Meier), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Meier 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 Joseph Trotta (Trotta), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trotta 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 Joel Arivett (Arivett), previously associated with Arvest Wealth Management, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Arivett 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 Rhett Bedwell (Bedwell), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Bedwell recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kishan Parikh (Parikh), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Parikh recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Adams (Adams), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 Tyrone Robinson (Robinson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 Linda Rotsztein (Rotsztein), previously associated with Truist Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rotsztein 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 Charles Lek (Lek), previously associated with Lek Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lek recommended unsuitable investments in different investment products including debt securities among other allegations…