According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Cocuzzo (Cocuzzo), previously associated with Newbridge Securities Corporation, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Cocuzzo recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Reyes (Reyes), previously associated with Next Financial Group, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Reyes recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Smith (Smith), currently associated with Oneamerica Securities, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Smith recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Boatright (Boatright), previously associated with Newbridge Securities Corporation, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Boatright recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Harpin (Harpin), currently associated with Cambridge Investment Research, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Harpin recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Anderson (Anderson), previously associated with Benchmark Investments, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Anderson recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Lerner (Lerner), previously associated with David Lerner Associates, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Lerner recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Davidson (Davidson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davidson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 Anthony D’ascoli (D’ascoli), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that D’ascoli recommended unsuitable investments in different investment products including debt securities among other…