According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lorber (Lorber), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lorber 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 Slavik (Slavik), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Slavik 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 Woods (Woods), previously associated with Oppenheimer & Co. Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Woods recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Casolaro (Casolaro), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Casolaro 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 Eric Wittenberg (Wittenberg), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wittenberg 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 Iris Israel (Israel), previously associated with Oppenheimer & Co. Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Israel 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 Feng Chen (Chen), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Chen recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Culver (Culver), currently associated with Cambridge Investment Research, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Culver 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 Timothy Van Dyken (Van Dyken), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Van dyken recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least 68 disclosable events. These events include 67 customer complaints, one tax lien, alleging that Fernando recommended unsuitable investments in different investment products including debt…