According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Diaz (Diaz), previously associated with IBN Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Diaz 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 James Mcarthur (Mcarthur), previously associated with IBN Financial Services, Inc., has at least 15 disclosable events. These events include 15 customer complaints, alleging that Mcarthur recommended unsuitable investments in different investment products including debt securities among other…
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Brian Exford (Exford) concerning allegations Exford refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into possible private securities transactions (also referred to as “selling away”). According to FINRA BrokerCheck records Exford was disclosed…
The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Anthony Diaz (Diaz) concerning a host of industry violations. Diaz entered the securities industry in January 2000 and has been registered with eleven different firms over fourteen years. Diaz is currently employed by IBN Financial Services, Inc., (IBN Financial)…