According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Lindberg (Lindberg), previously associated with Proequities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lindberg recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Eric Nicolassy (Nicolassy), currently associated with Network 1 Financial Securities INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Nicolassy concern allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Summers (Summers), previously associated with Lasalle St Securities, L.l.c., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Summers recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert David (David), previously associated with Morgan Stanley, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that David recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yousuf Saljooki (Saljooki), previously associated with Worden Capital Management LLC, has at least 8 disclosable events. These events include 3 customer complaints, 5 regulatory events, alleging that Saljooki recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Forrest Jones (Jones), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Jones recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Burton (Burton), currently associated with Cetera Advisors LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Burton recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Hananel (Hananel), previously associated with Aegis Capital Corp., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Hananel recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Stevens (Stevens), previously associated with Park Avenue Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stevens recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Weiner (Weiner), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weiner recommended unsuitable investments in different investment products including debt securities…