According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ron Itin (Itin), previously associated with Garden State Securities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Itin recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Platnico (Platnico), previously associated with Allied Millennial Partners, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Platnico recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sanderson (Sanderson), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sanderson recommended unsuitable investments in different investment products including debt securities…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Sullivan (Sullivan), previously associated with Trustmont Financial Group, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Sullivan concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Mcfarland (Mcfarland), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 Norman Meyer (Meyer), currently associated with Ni Advisors / Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyer recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adrian Munoz (Munoz), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Munoz recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Schofield (Schofield), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schofield 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 Robert Reich (Reich), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reich 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 Varshil Sanghavi (Sanghavi), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Sanghavi recommended unsuitable investments in different investment products including debt securities among other allegations…