According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg 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 Chauvenet (Chauvenet), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chauvenet 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 Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 Joshua Shipley (Shipley), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shipley 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 Ryan Barnhill (Barnhill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnhill 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 Aaron Rask (Rask), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rask 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 Romain (Romain), currently associated with Corecap Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Romain 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 Henrique Lucena (Lucena), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Lucena recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 Najat Rhoni (Rhoni), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhoni recommended unsuitable investments in different investment products including debt securities among other allegations…