According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mitrik (Mitrik), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mitrik 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 Nicholas Mazzaferro (Mazzaferro), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mazzaferro 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 Nohra Bello (Bello), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bello 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 Alex Rosen (Rosen), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 Ryan Herits (Herits), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Herits 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 Jason Gopen (Gopen), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gopen 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 John Becker (Becker), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Becker 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 Dusty Sternadel (Sternadel), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Sternadel recommended unsuitable investments in different investment products including debt…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michaelangelo Dooley (Dooley), currently employed by Newedge Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Dooley’s most…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Jennings (Jennings), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jennings recommended unsuitable investments in different investment products including debt securities among other…