According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lester Hamrick (Hamrick), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamrick 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 Francesco Traina (Traina), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Traina recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Boruch Gutter (Gutter), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gutter 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 Stephen Rogers (Rogers), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers 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 Mitchell Walk (Walk), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walk 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 Betsy Whipple (Whipple), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Whipple 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 T Thompson (Thompson), previously associated with Truist Investment Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Daniel Barnard (Barnard), previously employed by brokerage firm Cabin Securities, Inc. 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…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Juan Rionda (Rionda) 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 Rionda was employed by Merrill Lynch, Pierce,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mampieri (Mampieri), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mampieri recommended unsuitable investments in different investment products including debt securities…