According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patty Dawson (Dawson), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dawson recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Thomas (Thomas), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 Cassedy (Cassedy), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cassedy 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 James Montalto (Montalto), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montalto 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 Jason D’amelio (D’amelio), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that D’amelio recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Nastri (Nastri), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nastri 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 Jeffrey Feldhusen (Feldhusen), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Feldhusen 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 Shaun Floresca (Floresca), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Floresca 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 Philip Miceli (Miceli), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miceli 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 Krikor Demirjian (Demirjian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Demirjian recommended unsuitable investments in different investment products including debt securities among other allegations…