According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Johnston (Johnston), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 Randall Skrabonja (Skrabonja), previously associated with Green Vista Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skrabonja 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 Larry Lucco (Lucco), previously associated with Nfp Advisor Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lucco 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 John Davenport (Davenport), previously associated with Liberty Partners Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davenport recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Tofilon (Tofilon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Tofilon 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 Cary Cowan (Cowan), currently associated with Cadaret, Grant & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cowan recommended unsuitable investments in different investment products including debt securities among…
Previously financial advisor Elizabeth Engle (Engle), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Vanesko (Vanesko), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vanesko 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 Joseph Foldhazy (Foldhazy), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Foldhazy 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 Nancy Zak (Zak), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Zak recommended unsuitable investments in different investment products including debt securities among other allegations…