According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesus Quezada (Quezada), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Quezada 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 Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stone recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garrett Moretz (Moretz), currently associated with Lifemark Securities Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Moretz 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 Ashish Chowdhry (Chowdhry), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chowdhry 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 John Sommo (Sommo), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Sommo 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 Shaun Orcinolo (Orcinolo), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Orcinolo 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 Brendan Kelly (Kelly), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 Ricki Silverman (Silverman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Silverman 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 Peter Johns (Johns), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johns recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Corcoran (Corcoran), currently associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Corcoran recommended unsuitable investments in different investment products including debt securities among other allegations…