According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Johnson (Johnson), previously associated with Coastal Equities, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Johnson recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Blanco (Blanco), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blanco 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 Jason Young (Young), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Young recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Grueninger (Grueninger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Grueninger 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 Maniscalco (Maniscalco), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Maniscalco recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Howard (Howard), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Howard 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 Hagop Nalbandian (Nalbandian), currently associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nalbandian 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 John Stapleton (Stapleton), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stapleton 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 Eric Ng (Ng), currently associated with Intercarolina Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ng 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 Natalie Kotroba (Kotroba), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kotroba recommended unsuitable investments in different investment products including debt securities among…