According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christopher Dallas (Dallas), currently associated with Spartan Capital Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dallas concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Pan (Pan), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Pan recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Louis Olave (Olave) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Olave was employed by Lincoln Investment at…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Staudinger (Staudinger), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Staudinger 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 Roberto Maldonado (Maldonado), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Maldonado 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 Brian Johnson (Johnson), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 Jam Manauchehri (Manauchehri), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manauchehri recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Dawn Strachan (Strachan), currently employed by brokerage firm Osaic Wealth, INC. 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 as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Taylor (Taylor), currently associated with Msec, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Michael Destefano (Destefano), currently associated with Fmsbonds, INC., has at least one disclosable event. These events include one customer complaint, alleging that Destefano recommended unsuitable investments in different investment products including debt securities among other allegations and…