According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Obrien (Obrien), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 John Leonardi (Leonardi), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leonardi 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 Michael Ecker (Ecker), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker 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 William Parse (Parse), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Parse recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis No (No), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that No recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lek (Lek), previously associated with Lek Securities Corporation, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lek 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 Marc Rosenthal (Rosenthal), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenthal 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 Craig Friedrichsen (Friedrichsen), currently associated with LPL Enterprise, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Friedrichsen 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 Stephen Lucas (Lucas), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lucas recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fairchild (Fairchild), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Fairchild recommended unsuitable investments in different investment products including debt securities among other allegations and…