According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lentz (Lentz), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lentz recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Nelson (Nelson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xinxin Lu (Lu), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Lu recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Palmery Desir (Desir), previously associated with Richfield Orion International, INC., has been subject to at least 3 disclosable events. These events include one customer complaint, 2 regulatory events. Several of those complaints against Desir concern allegations of…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janice Reid (Reid), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reid 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 Carlos Fuhrmeister (Fuhrmeister), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Fuhrmeister 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 Kathy Moritz (Moritz), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moritz 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 Gustavo Velazquez Melendez (Velazquez Melendez), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Velazquez Melendez recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geraldine Polvino (Polvino), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Polvino recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rochelle Roerig (Roerig), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roerig recommended unsuitable investments in different investment products including debt securities among other…