According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Wareham (Wareham), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wareham 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 Claud Haws (Haws) 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 Haws was employed by Purshe Kaplan Sterling…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Nieto (Nieto), currently associated with Sorrento Pacific Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nieto 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 Sanford Schmidt (Schmidt), currently associated with the Leaders Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schmidt 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 Jeffrey Scott (Scott), currently associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scott 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 Caleb Miranda (Miranda), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miranda 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 Candace Huston (Huston), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huston 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 Richard Salinas (Salinas), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Salinas 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 Bradley Frisk (Frisk), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frisk recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Lizanich (Lizanich), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lizanich recommended unsuitable investments in different investment products including debt securities among other allegations…