According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aramis Guerin (Guerin), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Guerin 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 David Alvarado (Alvarado), currently associated with PHX Financial, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Alvarado concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steros Christoforou (Christoforou), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Christoforou 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 Sean Hosein (Hosein), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hosein 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 Alex Ng (Ng), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ng 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 Jason Walsh (Walsh), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walsh 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 Gregory Obrien (Obrien), previously associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Obrien recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Cardinale (Cardinale) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Cardinale was employed by PHX Financial, INC.…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Diaz (Diaz), currently associated with Phx Financial, 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 allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ali Mahlooji (Mahlooji), currently associated with Phx Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mahlooji recommended unsuitable investments in different investment products including debt securities among other allegations…