According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Paolini (Paolini), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paolini 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 Robert Nevarez (Nevarez), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nevarez 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 John Cervantes (Cervantes), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cervantes 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 Margaret Laquidara (Laquidara), previously associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Laquidara concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Levine (Levine), previously associated with First Financial Equity Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levine 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 Harvey Cohen (Cohen), previously associated with Purshe Kaplan Sterling Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cohen concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Brown (Brown), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Neil Kaplan (Kaplan), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaplan concern allegations of high frequency trading activity also…
Currently financial advisor Alan Kasser (Kasser), currently employed by brokerage firm J.w. Cole Financial, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Cormier (Cormier), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cormier recommended unsuitable investments in different investment products including debt securities among other…