According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Pugel (Pugel), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pugel 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 Jason Mieras (Mieras), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mieras 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 Robert Burpee (Burpee), previously associated with Burpee Del Simone Capital Markets LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burpee recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Travascio (Travascio), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Travascio 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 English (English), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that English 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 Mikyung Oh (Oh), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Oh 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 William Czaplewski (Czaplewski), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Czaplewski 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 James Allen (Allen), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 Shawn Good (Good), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Good 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 Howard Kaplan (Kaplan), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan recommended unsuitable investments in different investment products including debt securities among other allegations…