According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Greenblatt (Greenblatt), currently associated with Capitol Securities Management, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Greenblatt 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 Shortal (Shortal), currently associated with Moloney Securities Co., Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Shortal 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 Siek (Siek), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Siek 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 Gilbert Kuta (Kuta), currently associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kuta 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 Heck (Heck), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heck 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 Schlagheck (Schlagheck), previously associated with Cape Securities Inc., has at least 7 disclosable events. These events include 6 customer complaints, one regulatory, alleging that Schlagheck recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Revoir (Revoir), previously associated with Corecap Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Revoir 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 Francis Schiavetti (Schiavetti), currently associated with A.G.P. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Schiavetti recommended unsuitable investments in different investment products including debt securities among…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Christopher Christensen (Christensen) 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 Christensen was employed by Airlink Markets, LLC…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cecilia Dicristofalo (Dicristofalo), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicristofalo recommended unsuitable investments in different investment products including debt securities among other allegations…