According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Green (Green), previously associated with Edward Jones, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Green recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roman Meyerhans (Meyerhans), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Meyerhans recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Mcquaide (Mcquaide), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mcquaide recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Smith (Smith), previously associated with J.w. Cole Financial, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Smith recommended unsuitable investments in different investment products including debt…
Previously financial advisor Elba Nogueras (Nogueras), previously employed by brokerage firm First Southern, 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 Ronald Molo (Molo), previously associated with Edward Jones, has at least 6 disclosable events. These events include 3 customer complaints, 3 regulatory events, alleging that Molo 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 Pelletier (Pelletier), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pelletier recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Digioia (Digioia), previously associated with Lampost Capital, L.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Digioia recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kintz (Kintz), previously associated with T3 Trading Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kintz recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Runco (Runco), previously associated with Cfd Investments, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Runco recommended unsuitable investments in different investment products including debt securities…