According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Esposito (Esposito), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esposito recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jerome Messana (Messana), currently associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Messana concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Olson (Olson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan recommended unsuitable investments in different investment products including debt securities among other allegations…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anthony D’angelo (D’angelo), currently employed by Fmsbonds, INC. 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), D’angelo’s most recent…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 Alex Love (Love), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Love 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 Jarrett Strickland (Strickland), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Strickland recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stewart Ginn (Ginn), currently associated with Independent Financial Group, LLC, has been subject to at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events. Several of those complaints against Ginn concern allegations of…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Starke (Starke), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Starke recommended unsuitable investments in different investment products including debt securities among other allegations…