According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Dsilva (Dsilva), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dsilva 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 Kevin Canfield (Canfield), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Canfield 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 Robert Obraitis (Obraitis), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Obraitis 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 Ronald Naegle (Naegle), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Naegle 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 Paul Fleming (Fleming), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming 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 Ronald Cole (Cole), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cole 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 Davis (Davis), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Stillman (Stillman), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stillman recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Getty (Getty), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Getty 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 Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chapin recommended unsuitable investments in different investment products including debt securities among other allegations…