According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Massa (Massa), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Massa 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 Lyndon Grey (Grey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grey 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 Brian Kazinec (Kazinec), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazinec 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 Joan Marron (Marron), currently associated with Morgan Stanley & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marron recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Rodriguez (Rodriguez), currently associated with American Trust Investment Services, 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…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Vincent Mangone (Mangone), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Mangone concern allegations of high frequency trading…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Oliver Owens (Owens), currently employed by UBS Financial Services INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Owens’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Borgner (Borgner), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borgner recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Meyer (Meyer), currently associated with IBN Financial Services, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Meyer concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Westenbarger (Westenbarger), previously associated with Securities America, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Westenbarger recommended unsuitable investments in different investment products including debt securities…