According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Davis (Davis), previously associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Davis recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Manning (Manning), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Manning recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Donahue (Donahue), currently associated with PFS Investments INC., has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Donahue recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Smith (Smith), previously associated with Provident Private Capital Partners, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Smith recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Mayer (Mayer), currently associated with Endeavor Capital, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mayer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lilia Nia (Nia), previously associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Nia recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Martinez (Martinez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Martinez recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Capolongo (Capolongo), previously associated with Network 1 Financial Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Capolongo recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yann Faho (Faho), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Faho recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Henao Vargas (Henao Vargas), previously associated with Insigneo Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Henao Vargas recommended unsuitable investments in different investment products…