According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ira Bauman (Bauman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bauman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Viktoriia Strange Vitkovska (Strange Vitkovska), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Strange Vitkovska recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jumalon (Jumalon), previously associated with Navy Federal Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jumalon recommended unsuitable investments in different investment products including debt securities among…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Rudio (Rudio), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Rudio’s…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eric Ruthman (Ruthman), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ruthman’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franz Koch (Koch), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Koch recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Cavaliere (Cavaliere), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cavaliere 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 Ron Bednarz (Bednarz), currently associated with Cadaret, Grant & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Bednarz recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mayer (Mayer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mayer 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 Douglas Fisher (Fisher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fisher recommended unsuitable investments in different investment products including debt securities among other allegations…