According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Melendez (Melendez), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one regulatory event, alleging that Melendez recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Waters (Waters), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waters recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Dalewitz (Dalewitz), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dalewitz recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Goldsmith (Goldsmith), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldsmith recommended unsuitable investments in different investment products including debt securities…
Previously financial advisor Edward Muster (Muster), previously employed by brokerage firm Herbert J. Sims & Co, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Appelbaum (Appelbaum), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Appelbaum recommended unsuitable investments in different investment products including debt securities…
The securities attorneys at Gana Weinstein LLP are currently investigating previously registered broker Laurence Greene (Greene). According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Greene has been subject to two pending customer disputes concerning unsuitable investments. Most recently, in May 2018, a customer alleged that Greene…