According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stuart Boxenbaum (Boxenbaum), previously associated with G.f. Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boxenbaum 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 James Williams (Williams), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 Eric Diamond (Diamond), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 Frederick Moss (Moss), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Moss recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kelley (Kelley), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelley 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 Herbert Buchbinder (Buchbinder), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Buchbinder recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Talin Kalfayan (Kalfayan), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kalfayan 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 Alex Stolper (Stolper), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stolper recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maria Calcena (Calcena), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calcena 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 Luke Lannister (Lannister), previously associated with Grove Point Investments, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lannister recommended unsuitable investments in different investment products including debt securities among other…