According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Simpson (Simpson), previously associated with Equitable Advisors, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Simpson recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gentile (Gentile), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gentile recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Maricle (Maricle), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Maricle 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 Narith Long (Long), previously associated with Nylife Securities LLC, has at least 9 disclosable events. These events include 8 customer complaints, one regulatory event, alleging that Long recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Baldeo (Baldeo), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Baldeo recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Napolitano (Napolitano), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Napolitano 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 Linda Liu (Liu), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liu recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Eiland (Eiland), previously associated with Hd Vest Investment Services, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Eiland recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rainwater (Rainwater), previously associated with Arkadios Capital, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rainwater 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 Ted Ngo (Ngo), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ngo recommended unsuitable investments in different investment products including debt securities among other allegations…