According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Saar (Saar), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Saar 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 Jonathan Way (Way), previously associated with Wedbush Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Way recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Molinari (Molinari), currently associated with American Veterans Group, Pbc, has at least one disclosable event. These events include one customer complaint, alleging that Molinari 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 Ernest Harris (Harris), previously associated with Union Capital Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Harris 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 Parker King (King), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that King 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 Michael Delafuente (Delafuente), previously associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delafuente 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 Klipfel (Klipfel), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klipfel 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 April Waldman (Waldman), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waldman 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 Andrea Klipfel (Klipfel), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klipfel 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 Joseph Latour (Latour), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Latour recommended unsuitable investments in different investment products including debt securities among other…