Previously financial advisor Mario Divita (Divita), previously employed by brokerage firm Traderfield Securities INC. 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 alternative…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Weisbrod (Weisbrod), previously associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Weisbrod recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Appelbaum (Appelbaum), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Appelbaum recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Pierce (Pierce), previously associated with Northwestern Mutual Investment Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Pierce recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 Baumann (Baumann), previously associated with Spartan Capital Securities, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baumann recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Chan (Chan), previously associated with Ni Advisors, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Chan recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Nicholas Schiano (Schiano), currently associated with Spartan Capital Securities, LLC, has been subject to at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory events. Several of those complaints against Schiano concern allegations of…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Michaels (Michaels), previously associated with Crown Capital Securities, L.p., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Michaels recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mccoy (Mccoy), previously associated with Calton & Associates, INC., has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Mccoy recommended unsuitable investments in different investment products including debt…