According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Biaggio Caroleo (Caroleo), previously associated with Sw Financial, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Caroleo 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 Warren Rogers Ii (Rogers Ii), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers Ii recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lianzo (Lianzo), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lianzo recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barghini (Barghini), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barghini 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 Mickey Mclellan (Mclellan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Mclellan 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 Sherman Felix (Felix), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Felix 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 Samuel Ingram (Ingram), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ingram 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 Luann Chapmangatts (Chapmangatts), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chapmangatts 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 Howard Hanna (Hanna), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hanna 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 Jonathan Ellefson (Ellefson), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ellefson recommended unsuitable investments in different investment products including debt securities among other…