According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emilio Vazquez (Vazquez), previously associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vazquez 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 Ronald Hamilton (Hamilton), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 Eric Garcia (Garcia), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 Fermin Mesina (Mesina), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mesina 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 Arthur Grossbard (Grossbard), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grossbard 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 Farhad Sediqi (Sediqi), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sediqi 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 Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 Derek Malone (Malone), currently associated with Osaic Institutions, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Malone 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 John Atkins (Atkins), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Atkins recommended unsuitable investments in different investment products including debt securities among other allegations…