According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Fineman (Fineman), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Fineman recommended unsuitable investments in different investment products including debt…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Crabtree (Crabtree) 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 Crabtree was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Calamunci (Calamunci), previously associated with Xnergy Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Calamunci recommended unsuitable investments in different investment products including debt securities…
Previously financial advisor Michael Lancaster (Lancaster), previously employed by brokerage firm Ifp Securities, LLC has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Garapedian (Garapedian), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Garapedian recommended unsuitable investments in different investment products including debt securities among…
Currently financial advisor Mark Martino (Martino), currently employed by brokerage firm the Benchmark Company, LLC has been subject to at least 3 disclosable events. These events include one customer complaint, 2 regulatory events. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Nicholas (Nicholas), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 5 disclosable events. These events include one customer complaint, 4 regulatory events, alleging that Nicholas recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Perugino (Perugino), currently associated with Craft Capital Management LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Perugino recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miche Jean (Jean), previously associated with Morgan Stanley, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Jean recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kirkland (Kirkland), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kirkland recommended unsuitable investments in different investment products including debt securities…