According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yvonne Redmond (Redmond), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Redmond 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 Luke Brooks (Brooks), previously associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Brooks 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 Iam Aguilar (Aguilar), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one regulatory event, alleging that Aguilar 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 Brian Chicas (Chicas), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one regulatory event, alleging that Chicas 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 Francisco Escalera (Escalera), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Escalera 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 Seth Gansman (Gansman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gansman recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Stephen Polak (Polak) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Polak was employed by Avantax Investment Services,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Hamilton (Hamilton), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 Hiroshi Mizutani (Mizutani), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mizutani 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 Mark Upchurch (Upchurch), previously associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Upchurch recommended unsuitable investments in different investment products including debt securities among other allegations…