According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Sylvester (Sylvester), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sylvester 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 Matthew Hyson (Hyson), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hyson 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 Adam Beck (Beck), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beck 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 Robert Dunbar (Dunbar), previously associated with MML Investors Services, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Dunbar recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Ayre (Ayre), previously associated with Hilltop Securities INC., has at least 13 disclosable events. These events include 11 customer complaints, 2 regulatory events, alleging that Ayre recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnny Ceballos (Ceballos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ceballos 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 Patrick Sizemore (Sizemore), previously associated with Vanguard Marketing Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sizemore 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 Erik Larsen (Larsen), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 Jose Garcia Talavera (Garcia Talavera), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least 49 disclosable events. These events include 49 customer complaints, alleging that Garcia Talavera recommended unsuitable investments in different investment…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shlomo Strugano (Strugano), previously associated with First Allied Securities, INC., has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Strugano recommended unsuitable investments in different investment products including debt…