According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leizl Lacida (Lacida), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lacida 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 Murray (Murray), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 Lorraine Gallette (Gallette), previously associated with Moloney Securities Co., INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Gallette 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 Joshua Cox (Cox), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 Tina Haines Anglin (Haines Anglin), currently associated with Navy Federal Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haines Anglin recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bart Cutino (Cutino), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cutino 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 Michael Gebhard (Gebhard), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gebhard 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 Shawn Patt (Patt), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patt 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 Karl Klingmann Ii (Klingmann Ii), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Klingmann Ii recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hobbs (Hobbs), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hobbs recommended unsuitable investments in different investment products including debt securities…