According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Molskness (Molskness), previously associated with Valic Financial Advisors, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Molskness recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Williams (Williams), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Williams recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karandos (Karandos), previously associated with Dinosaur Financial Group, L.l.c, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Karandos recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Izhar Shefer (Shefer), previously associated with Apw Capital, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Shefer recommended unsuitable investments in different investment products including debt securities…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Hogan (Hogan) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Hogan was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Gatto (Gatto), currently 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 Gatto recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parrelly (Parrelly), previously associated with Investment Planners, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Parrelly recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pratt (Pratt), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pratt recommended unsuitable investments in different investment products including…
Previously financial advisor Ronald Bailey (Bailey), previously employed by brokerage firm Mutual of America Securities LLC has been subject to at least 5 disclosable events. These events include 4 customer complaints, one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Hansen (Hansen), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Hansen recommended unsuitable investments in different investment products including debt…