According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Duval (Duval), previously associated with Pruco Securities, Llc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duval 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 Mark Fuhr (Fuhr), previously associated with Pruco Securities, Llc., has at least one disclosable event. These events include one customer complaint, alleging that Fuhr 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 Torian Mitchell (Mitchell), previously associated with Pruco Securities, Llc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mitchell 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 James Pelletiere (Pelletiere), previously associated with Pruco Securities, Llc., has at least 4 disclosable events. These events include 3 customer complaints, one tax lien, alleging that Pelletiere recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Carter (Carter), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Carter recommended unsuitable investments in different investment products including debt securities among other allegations…
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. (Pruco) out of Uniondale, New York. According to a BrokerCheck report, Arteca has been subject to at least five customer complaints during his career. According to records kept by The Financial…
Advisor Alex Blanco (Blanco), currently employed by MML Investors Services, LLC (MML Investors) has been subject to at least three customer complaints during the course of his career. According to a BrokerCheck report some of the customer complaints concern variable annuities and alternative investments such as direct participation products (DPPs)…
According to BrokerCheck records financial advisor Anthony Ferrara (Ferrara), currently employed by Larson Financial Securities, LLC (Larson Financial), has been subject to four customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2017 a customer filed a complaint alleging that Larson Financial made unsuitable…
According to news sources Bryan Anderson (Anderson) has been charged with wire fraud, money laundering and securities fraud, according to the FBI and the Alabama Securities Commission Anderson agreed to plead guilty to the charges under a plea agreement. Under the plea agreement Anderson will pay restitution of about $3.1…
The Financial Industry Regulatory Authority (FINRA) recently barred broker Derek Weaver (Weaver) alleging that Weaver failed to provide documents and information to FINRA in response to demands made to investigate the broker’s activities. On December 1, 2014, FINRA sent Weaver a request for documents concerning allegations that he participated in…