Previously financial advisor Richard Demetriou (Demetriou), previously employed by brokerage firm Titan Securities has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Goodman (Goodman), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Manly (Manly), currently associated with W & s Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Manly recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Morris (Morris), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 Tran Luong (Luong) 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 Luong was employed by LPL Enterprise, LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Allex (Allex), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Allex 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 Johnson Andrews (Andrews), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 Shawn Davis (Davis), previously associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Davis 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 Salvatore Pizzimenti (Pizzimenti), previously associated with Worden Capital Management LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Pizzimenti recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Gebron (Gebron), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Gebron recommended unsuitable investments in different investment products including debt securities among other allegations and…