According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicola Caporaso (Caporaso), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caporaso 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 Kennon (Kennon), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kennon 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 Sylvia Gort (Gort), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gort 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 Aaron Sevigny (Sevigny), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sevigny recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Chambers (Chambers), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chambers 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 Kang (Kang), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kang recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cedric Powell (Powell), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Powell recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Gustafson (Gustafson), previously associated with Fordham Financial Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Gustafson concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curt Giacobbe (Giacobbe), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Giacobbe recommended unsuitable investments in different investment products including debt…
Currently financial advisor James Day (Day), currently employed by brokerage firm Hightower Securities, LLC 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…