According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., 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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Infante (Infante), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Infante 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 Gerald Hanifan (Hanifan), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hanifan 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 Kim Block (Block), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Block 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 Perkins (Perkins), currently associated with Hatteras Capital Distributors, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Perkins 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 Ricky Meyer (Meyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 Rohn (Rohn), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rohn recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Theodore Kourpas (Kourpas) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Kourpas was employed by Independent Financial Group,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Cutrone (Cutrone), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Cutrone 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 Travis Lippmann (Lippmann), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippmann recommended unsuitable investments in different investment products including debt securities among other…