According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Lee (Lee), previously associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lee 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 Richard Pascale (Pascale), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Pascale 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 James Neel (Neel), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Neel 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 Eric Anderson (Anderson), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Anderson 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 Paul Weinberger (Weinberger), currently associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weinberger 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 Rodger Mcalister (Mcalister), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Mcalister 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 Brad Whalen (Whalen), currently associated with Green Vista Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whalen 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 Nikolai Taylor (Taylor), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 Lisa Pugel (Pugel), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pugel 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 Rita Mansour (Mansour), currently associated with Mcdonald Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mansour recommended unsuitable investments in different investment products including debt securities among other allegations…