According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Shaposhnik (Shaposhnik), previously associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaposhnik 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 Richard Villa (Villa), currently associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Villa 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 David Lippman (Lippman), previously associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippman recommended unsuitable investments in different investment products including debt securities among other…