According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Raigoza (Raigoza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raigoza 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 Shawn Spellacy (Spellacy), currently associated with San Blas Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Spellacy 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 Ramon Haile (Haile), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haile 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 Patricia Fleming (Fleming), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fleming 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 Alfred Block (Block), currently associated with Buckman, Buckman & Reid, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Block concern allegations of high frequency…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Buckman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker W Jones (Jones), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 Lemak (Lemak), currently associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lemak 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 Cecil Creasy (Creasy), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Creasy 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 Kenneth Luccioni (Luccioni), previously associated with Triad Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Luccioni recommended unsuitable investments in different investment products including debt securities among other allegations…