According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David White (White), previously associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that White 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 Wayne Hurley (Hurley), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 Michael Wroten (Wroten), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Wroten 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 Reynold Neufeld (Neufeld), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Neufeld 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 Shalom Azar (Azar), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Azar 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 Natalia Avila (Avila), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Avila recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmad Quqa (Quqa), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quqa 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 Javier Martin Riva (Martin Riva) 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 Martin Riva was employed by…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashley Jagoda (Jagoda), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jagoda 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 Alexander Fischman (Fischman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Fischman recommended unsuitable investments in different investment products including debt securities among other allegations and…