According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with MML Investors Services, 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Harrell (Harrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Harrell 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 Andrew Gergatsoulis (Gergatsoulis), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gergatsoulis 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 Martin Klein (Klein), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Klein 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 Mark Rippeteau (Rippeteau), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rippeteau 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 Ryan Pramberg (Pramberg), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Pramberg 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 Sam Walton (Walton), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walton 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 Drake Medeiros (Medeiros), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Medeiros recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kaysi Fitzpatrick (Fitzpatrick), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fitzpatrick 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 Tyler Gugliuzza (Gugliuzza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gugliuzza recommended unsuitable investments in different investment products including debt securities among other allegations and…