According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 Eduardo Mordujovich (Mordujovich), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mordujovich 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 Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Barouti 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 Austin Dutton (Dutton), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dutton recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Ann Nouchi (Nouchi), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nouchi 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 Christopher Hayes (Hayes), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 Raleigh Galiano (Galiano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galiano 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 Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Roman (Roman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roman recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Mcwhorter (Mcwhorter), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcwhorter recommended unsuitable investments in different investment products including debt securities among other allegations…