According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dunlap (Dunlap), previously associated with Mwa Financial Services Inc., has at least one disclosable event. These events include one regulatory event, alleging that Dunlap 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 Norbert Filian (Filian), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Filian 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 Rose (Rose), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Christoforidis (Christoforidis), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Christoforidis 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 Sullivan (Sullivan), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 Tammy Bowman (Bowman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 Allen Mecham (Mecham), previously associated with Southeast Investments, N.c., Inc., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Mecham recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Andrew Galy (Galy), previously associated with Cambridge Investment Research, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Galy concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Omar Barakat (Barakat), previously associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Barakat recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Schissler (Schissler), previously associated with Msc – Bd, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Schissler recommended unsuitable investments in different investment products including debt securities among other…