According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Twarogowski (Twarogowski), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Twarogowski 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 Robert Sessa (Sessa), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessa 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 Steven Kahn (Kahn), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kahn recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramona Ivy (Ivy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ivy 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 James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 Tipton (Tipton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tipton recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Addo (Addo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Addo 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 Alexander Gorman (Gorman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gorman 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 Myrsa Acevedo (Acevedo), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Acevedo recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jie Zheng (Zheng), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zheng recommended unsuitable investments in different investment products including debt securities among other…