According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald York (York), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that York 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 Mark Hovanic (Hovanic), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Hovanic 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 Lisa Grosskopf (Grosskopf), currently associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grosskopf 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 Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, 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 Keith Dagostino (Dagostino), previously associated with Ef Hutton LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dagostino 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 Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy 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 Davee Schulte (Schulte), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schulte recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Giannantonio (Giannantonio), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Giannantonio 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 Forest (Forest), currently associated with First Heartland Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Forest 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 Anthony Megaro (Megaro), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Megaro recommended unsuitable investments in different investment products including debt…