According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rovner (Rovner), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Rovner 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 Edward Corbett (Corbett), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Corbett 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 Thomas Mingone (Mingone), currently associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mingone 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 Robert Hicks (Hicks), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks 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 Michael Romano (Romano), previously associated with Arete Wealth Management, LLC, has at least 16 disclosable events. These events include 16 customer complaints, alleging that Romano recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Isaiah Williams (Williams) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Williams was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Edwards (Edwards), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one regulatory, alleging that Edwards 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 Molly Hough (Hough), previously associated with Hornor, Townsend & Kent, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Hough recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Renisha Jackson-rucker (Jackson-rucker), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jackson-rucker 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 Patrick Maguire (Maguire), currently associated with M Holdings Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Maguire recommended unsuitable investments in different investment products including debt securities among other…