According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pineda (Pineda), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Pineda 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 Craig Kapp (Kapp), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kapp 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 David Barnes (Barnes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Barnes 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 David Mcdonnell (Mcdonnell), previously associated with Tcfg Wealth Management, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mcdonnell recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stephan (Stephan), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephan 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 Gary Mathews (Mathews), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathews 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 Kelly Straub (Straub), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Straub 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 Cristobal Flanagan Margozzini (Flanagan Margozzini), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Flanagan Margozzini recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Gandolfi (Gandolfi), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gandolfi recommended unsuitable investments in different investment products including debt securities among other allegations…