According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 Jared Gudenkauf (Gudenkauf), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gudenkauf recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Hodgman (Hodgman), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Hodgman 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 Barreca (Barreca), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreca recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Thaler (Thaler), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thaler 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 Harris (Harris), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Harris recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Roop (Roop), previously associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Roop 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 Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 Harry Hartman (Hartman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hartman 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 Michael Schiavello (Schiavello), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiavello recommended unsuitable investments in different investment products including debt securities among other allegations…