According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Giovacchino (Giovacchino), currently associated with Osaic Institutions, Inc., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Giovacchino recommended unsuitable investments in different investment products including debt securities among other allegations…
Currently financial advisor Christopher Robinson (Robinson), currently employed by brokerage firm LPL Financial LLC 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 Christopher Duffy (Duffy), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duffy 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 Bradley Vick (Vick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vick 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 Whalen (Whalen), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Whalen 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 Michael Robertson (Robertson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 Frank Vecchio (Vecchio), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one tax lien, alleging that Vecchio 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 Lance Williamson (Williamson), previously associated with Bankers Life Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Williamson 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 Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 Joel Barjenbruch (Barjenbruch), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barjenbruch recommended unsuitable investments in different investment products including debt securities among other allegations…