According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Herrera (Herrera), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Herrera recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Herrera (Herrera), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herrera recommended unsuitable investments in different investment products including debt securities among other…
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