According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Rosen (Rosen), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 Lindsey Wedner (Wedner), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wedner 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 Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Korsch recommended unsuitable investments in different investment products including debt securities among other allegations and…
Currently financial advisor Shirley Wong (Wong), currently employed by brokerage firm Emerson Equity LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Paul Cirelli (Cirelli), currently associated with Alexander Capital, L.p., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Cirelli 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 Stewart Ginn (Ginn), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ginn 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 Lagrange (Lagrange), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lagrange recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 Victor Rodriguez (Rodriguez), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and…