According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Mannino (Mannino), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mannino 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 Patrick Norris (Norris), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norris 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 Benjamin Schick (Schick), currently associated with Cobalt Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schick 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 John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Hector Villaescusa (Villaescusa) 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 Villaescusa was employed by Bulltick, LLC at…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Larsen (Larsen), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larsen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Walker (Walker), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 Straight (Straight), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Straight recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Cataldo Panici (Panici), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Shaffer (Shaffer), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Shaffer recommended unsuitable investments in different investment products including debt securities among other allegations…