According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Chen (Chen), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 Rinaldo Diaz-flores (Diaz-flores), currently associated with Kovack Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Diaz-flores 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 Todd Lesk (Lesk), previously associated with Cambridge Investment Research, Inc., has at least 6 disclosable events. These events include 5 customer complaints, one regulatory event, alleging that Lesk recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Delao (Delao), currently associated with St. Bernard Financial Services, Inc., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Delao recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Higgins (Higgins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Biddle (Biddle), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Biddle 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 Walter Squires (Squires), previously associated with Osaic Institutions, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Squires 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 Kenneth Angelo (Angelo), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Angelo 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 Alan Mason (Mason), currently associated with Bradley Woods & Co. Ltd., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Mason recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Law (Law), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Law recommended unsuitable investments in different investment products including debt…