According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tolstoi (Tolstoi), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolstoi recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walker (Walker), previously associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 Jeffrey Moravchik (Moravchik), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moravchik 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 Troy Perkins (Perkins), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perkins 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 Robert Burns (Burns), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Burns 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 Michael Fisher (Fisher), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fisher 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 David Burk (Burk), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 Frank Chiodi (Chiodi), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chiodi 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 Kim Schardan (Schardan), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schardan 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 Jeffrey Cohen (Cohen), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one regulatory event, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other…