According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Almeida (Almeida), previously associated with Worden Capital Management LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Almeida recommended unsuitable investments in different investment products including debt…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Chadwick Carrick (Carrick), currently associated with the Jeffrey Matthews Financial Group, L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Carrick concern allegations of high…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Horst (Horst), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Horst recommended unsuitable investments in different investment products including debt securities among other allegations…
Previously financial advisor Brian Grumbach (Grumbach), previously employed by brokerage firm Hightower Securities, LLC 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 Sean Kiltau (Kiltau), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kiltau recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Giancola (Giancola), previously associated with Traderfield Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Giancola 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 Michael Momper (Momper), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Momper 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 Scott Krizner (Krizner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krizner 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 Daniel Holman (Holman), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holman 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 Louis Rodriguez Nader (Rodriguez Nader), currently associated with First Southern, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez Nader recommended unsuitable investments in different investment products including debt securities…