According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wolanyk (Wolanyk), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wolanyk 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 Russell Thompson (Thompson), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 Mark Feliciano (Feliciano), currently associated with Bankers Life Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feliciano 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 Daryle Coppedge (Coppedge), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Coppedge 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 Primo Bushati (Bushati), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bushati 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 Jack Michaletz (Michaletz), currently associated with Dai Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Michaletz 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 Nicholas Kraiko (Kraiko), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kraiko recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Wada (Wada), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wada recommended unsuitable investments in different investment products including debt securities among other allegations…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Valdini (Valdini), previously associated with Joseph Stone Capital L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Valdini concern allegations of high frequency trading…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Nicholas Mcmahan (Mcmahan), currently employed by Cetera Investment Services LLC 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), Mcmahan’s…