According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Capuzzi (Capuzzi), currently associated with Apex Clearing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Capuzzi 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 David Rockwell (Rockwell), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rockwell recommended unsuitable investments in different investment products including debt…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Daniel Mcgowan (Mcgowan), previously associated with Benchmark Investments, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mcgowan concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Baldassarra (Baldassarra), previously associated with Newbridge Securities Corporation, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Baldassarra concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Jones (Jones), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 David Beam (Beam), previously associated with Lincoln Financial Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Beam 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 Todd Bessey (Bessey), previously associated with Wintrust Investments LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bessey 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 Bruce Dowell (Dowell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowell 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 John Leonard (Leonard), previously associated with Wells Fargo Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Leonard 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 Stephanie Lampley (Lampley), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Lampley recommended unsuitable investments in different investment products including debt securities among other allegations…