According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Scorzafava (Scorzafava), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Scorzafava 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 Murtaza Sardharwala (Sardharwala), previously associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sardharwala recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Couch (Couch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Couch 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 John Gaffney (Gaffney), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gaffney 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 Jenifer Sutton (Sutton), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Sutton 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 Mark Senofonte (Senofonte), previously associated with First Heartland Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Senofonte 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 Daintry Price (Price), currently associated with LPL Financial LLC / Hub International Investment Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Price recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stevens (Stevens), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 Lok Kei Kelvin Wong (Wong), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wong recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfonso Duarte Rioseco (Duarte Rioseco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duarte Rioseco recommended unsuitable investments in different investment products including debt securities among…