According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mccloskey (Mccloskey), previously associated with Westpark Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mccloskey 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 Darryl Cohen (Cohen), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cohen 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 Debra Schleining (Schleining), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schleining 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 Dennis Azary (Azary), currently associated with Finalis Securities LLC / Third Lake Associates, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Azary recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rappaport (Rappaport), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rappaport 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 Doran James (James), currently employed by J.w. Cole Financial, INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), James’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wrich (Wrich), currently associated with & partners, has at least one disclosable event. These events include one customer complaint, alleging that Wrich 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 Larry Hyatt (Hyatt), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hyatt recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Toetz (Toetz), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Toetz 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 Susan Ciucci (Ciucci), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciucci recommended unsuitable investments in different investment products including debt securities among other allegations…