According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Romano (Romano), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Romano recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Guilbault (Guilbault), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guilbault recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Efrain Trujillo (Trujillo), previously associated with Western International Securities, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Trujillo concern allegations of…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mayes (Mayes), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mayes 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 Kevin Oneill (Oneill), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oneill 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 Gregory Iglow (Iglow), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Iglow 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 Lynn Nicholson (Nicholson), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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 Gregory Randall (Randall), currently associated with U.S. Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall 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 Clifford Virgin Iii (Virgin Iii), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Virgin Iii recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Davie Ambrose (Ambrose), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Ambrose recommended unsuitable investments in different investment products including debt securities among other allegations…