According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Charles Malico (Malico), previously associated with Network 1 Financial Securities INC., has been subject to at least 3 disclosable events. These events include 2 customer complaints, one regulatory event. Several of those complaints against Malico concern allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Combs (Combs), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Combs 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 Gary Benson (Benson), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Benson 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 Daniel Joyce (Joyce), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Joyce 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 Jason Gatts (Gatts), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gatts 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 George Kangas (Kangas), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kangas recommended unsuitable investments in different investment products including debt securities among other allegations…
The law firm Gana Weinstein LLP, which focuses on securities-related cases, has initiated an arbitration claim against Emerson Equity LLC on behalf of a retired investor. The claim accuses the brokerage firm of misrepresenting investments in Inspired Healthcare Capital (IHC) as secure and reliable vehicles for retirement income, despite their…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yoon Ji Park (Park), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Park recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grason Lanz (Lanz), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lanz 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 Adam Smith (Smith), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations…