According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Green (Green), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Green 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 Thomas Niemczyk (Niemczyk), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Niemczyk 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 Gerald Sharpe (Sharpe), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sharpe 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 Angela Denham (Denham), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Denham recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rockowitz (Rockowitz), currently associated with Madison Global Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rockowitz 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 Daniel Sopher (Sopher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sopher 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 Juan Perez (Perez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Perez 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 Toni Nieves (Nieves), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nieves recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Frank Betsch (Betsch), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge M. Pelegrina (Pelegrina), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pelegrina recommended unsuitable investments in different investment products including debt securities among…