According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vlad Uchenik (Uchenik), currently associated with Inx Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uchenik recommended unsuitable investments in different investment products including debt securities among other allegations…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anderson Ariza (Ariza), currently employed by Northern Trust Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ariza’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Frum (Frum), currently associated with Kcd Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frum 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 J. Paul Escudero (Escudero), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Escudero 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 Kimberly Neely (Neely), currently associated with Keystone Global / Redtail Capital Markets, LLC / Race Rock Capital LLC / Dalmore Group LLC / Mc Square Capital, LLC / Inx Securities, LLC, has at least one disclosable event.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinsen 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 Douglas Dulac (Dulac), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Dulac recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Laine (Laine), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Laine 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 Brusca (Brusca), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brusca recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Furgerson (Furgerson), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Furgerson recommended unsuitable investments in different investment products including debt securities among…