According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mandarino (Mandarino), currently associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Mandarino recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Joanne Petretto (Petretto), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Petretto 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 Caruso (Caruso), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caruso 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 Kevin Dery (Dery), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dery recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Ellison (Ellison), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ellison recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Vanlohuizen (Vanlohuizen), previously associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Vanlohuizen recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Boothe (Boothe), previously associated with International Assets Advisory, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Boothe concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Witthauer (Witthauer), currently associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Witthauer recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Waisner (Waisner), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waisner recommended unsuitable investments in different investment products including debt securities among other…