According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Reimer (Reimer), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reimer 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 Daniel Schapiro (Schapiro), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schapiro 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 Kenneth Offenberg (Offenberg), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Offenberg recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Reis (Reis), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Reis 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 J Byron Davies (Davies), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Davies recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Cutrupi (Cutrupi), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cutrupi recommended unsuitable investments in different investment products including debt securities among…
Previously financial advisor H Roggen (Roggen), previously employed by brokerage firm Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Brandt (Brandt), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandt 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 Jonathan Lococo (Lococo), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Lococo recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Durrett (Durrett), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Durrett recommended unsuitable investments in different investment products including debt securities among other…