According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Eggleton (Eggleton), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Eggleton 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 Felix Lemarinel (Lemarinel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lemarinel 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 Howard Raff (Raff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raff 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 Brian Cote (Cote), currently associated with Gpwa, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cote 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 Jongwook Kim (Kim), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 Herbert White (White), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that White 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 Mark Wolpert (Wolpert), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wolpert 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 Steven Flahive (Flahive), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flahive recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Nyitray (Nyitray), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nyitray 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 Paul Nowak (Nowak), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nowak recommended unsuitable investments in different investment products including debt securities among other…