According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andre Davis (Davis), previously associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one tax lien, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Michael Taglich (Taglich), currently employed by brokerage firm Taglich Brothers, Inc. 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Williams (Williams), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Williams recommended unsuitable investments in different investment products including…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashlee Godfrey (Godfrey), previously associated with Benjamin F. Edwards & Company, Inc., has at least one disclosable event. These events include one tax lien, alleging that Godfrey recommended unsuitable investments in different investment products including debt securities…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Shadi Barakat (Barakat), previously associated with Alexander Capital, L.p., has been subject to at least one disclosable event. These events include one tax lien. Several of those complaints against Barakat concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannan Denison (Denison), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Denison 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 Amy Furuno (Furuno), currently associated with Lucid Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Furuno 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 Mauricio Alvarez (Alvarez), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 James Dorney (Dorney), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dorney 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 David Page (Page), previously associated with Spartan Capital Securities, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one tax lien, alleging that Page recommended unsuitable investments in different investment products including debt…