According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rizzo (Rizzo), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rizzo 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 James Rushton (Rushton), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushton recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Spiegel (Spiegel), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiegel 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 Heath Goldstein (Goldstein), currently associated with Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldstein 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 Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 Reza Zafari (Zafari), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Zafari recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ciccone (Ciccone), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciccone 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 Matthew Mcfarland (Mcfarland), currently associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 Nicholas Ruch (Ruch), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Ruch 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 Richard Mirrielees (Mirrielees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mirrielees recommended unsuitable investments in different investment products including debt securities among other…