According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Orlando (Orlando), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Orlando 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 Barry Mills (Mills), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Mills recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Forsman (Forsman), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forsman 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 Daniel Kistler (Kistler), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kistler 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 Matthew Cyr (Cyr), previously associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cyr 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 Dustin Javier (Javier), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Javier 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 Benjamin Yin (Yin), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yin 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 Thomas Pendleton (Pendleton), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pendleton recommended unsuitable investments in different investment products including debt securities among other allegations…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jorge Menendez (Menendez), currently employed by Citigroup Global Markets INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Menendez’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Dow (Dow), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dow recommended unsuitable investments in different investment products including debt securities among other…