According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Nielson (Nielson), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nielson 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 Robert Rumley (Rumley), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Rumley 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 Eszylfie Taylor (Taylor), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Gregory Lourdin (Lourdin), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lourdin 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 Michael Battalini (Battalini), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battalini 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 Mark Elias (Elias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 Mona Fahmy (Fahmy), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fahmy 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 Terri Fassi (Fassi), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fassi 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 Andrew Pravlik (Pravlik), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pravlik 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 Frank Kuiper (Kuiper), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuiper recommended unsuitable investments in different investment products including debt securities among other…