According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joan Weiss (Weiss), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Weiss 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 Thomas Bonik (Bonik), previously associated with Ntb Financial Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bonik recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kurz (Kurz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Kurz 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 Fabio Filgueiras (Filgueiras), currently associated with Safra Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Filgueiras 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 Myles Easter (Easter), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Easter 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 Sarah Reznick (Reznick), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reznick 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 Adam Figueroa (Figueroa), currently associated with Ceros Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Figueroa 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 Shannon Crotty (Crotty), previously associated with Blue Sand Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crotty 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 Roberto Feria Cestero (Feria Cestero), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feria Cestero recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Pou Monagas (Pou Monagas), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pou Monagas recommended unsuitable investments in different investment products including debt…