According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ortal Shachar (Shachar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shachar 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 David Monckton (Monckton), currently associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Monckton 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 John Howley (Howley), previously associated with Park Avenue Securities LLC, has at least 11 disclosable events. These events include 8 customer complaints, 3 regulatory events, alleging that Howley recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Booth (Booth), previously associated with LPL Financial LLC, has at least 34 disclosable events. These events include 31 customer complaints, 3 regulatory events, alleging that Booth recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Lentz (Lentz), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lentz 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 Warren Hartzman (Hartzman), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hartzman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Chiellini (Chiellini), previously associated with Centaurus Financial, INC., has at least 43 disclosable events. These events include 43 customer complaints, alleging that Chiellini 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 Finnegan (Finnegan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finnegan 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 Carey James (James), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that James 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 Jesus Vega (Vega), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vega recommended unsuitable investments in different investment products including debt securities among other allegations…