According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Helfgott (Helfgott), previously associated with MML Investors Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Helfgott recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Fawcett (Fawcett), previously associated with Westpark Capital, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Fawcett recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdini (Valdini), previously associated with Aegis Capital Corp., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Valdini recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Ramsey (Ramsey), previously associated with Paulson Investment Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ramsey recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franz Lambert (Lambert), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lambert recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Torriente (Torriente), previously associated with Comerica Securities, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Torriente recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Valenzuela (Valenzuela), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Valenzuela recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker German Nino (Nino), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Nino recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Frerking (Frerking), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Frerking recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Sonville (Sonville), previously associated with Savile Capital Markets LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Sonville recommended unsuitable investments in different investment products including debt…