According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Josiah Lederman (Lederman), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lederman 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 Amit Urban (Urban), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urban 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 John Palma (Palma), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Palma recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manolo Baca (Baca), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baca 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 Patrick Durst (Durst), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Durst recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Lippmann (Lippmann), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippmann 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 Rebekah Bodkin (Bodkin), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bodkin recommended unsuitable investments in different investment products including debt securities among other allegations and…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Cohen (Cohen) 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 Cohen was employed by Cetera Investment Services…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Longoria (Longoria), currently associated with Sunbelt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Longoria recommended unsuitable investments in different investment products including debt securities among other allegations…