According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Nin (Nin), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one tax lien, alleging that Nin recommended unsuitable investments in different investment products including debt securities among other…
Articles Posted in Investment Lawyer
Broker Michael Mashak in Equitable Advisors, LLC Firm Has Customer Complaint
Currently financial advisor Michael Mashak (Mashak), currently employed by brokerage firm Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
Broker Charles Cook in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Cook (Cook), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one tax lien, alleging that Cook recommended unsuitable investments in different investment products including debt…
Broker Bartholomew Mackler in LPL Financial LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bartholomew Mackler (Mackler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mackler recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker Eric Reed in LPL Financial LLC Firm Has Customer Complaint
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Reed (Reed), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reed recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker Hans Sharma in Innovation Partners LLC Firm Has Customer Complaint
Currently financial advisor Hans Sharma (Sharma), currently employed by brokerage firm Innovation Partners LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
There are Recent Customer Complaints with Broker Michael Parenti in Firm Ameriprise Financial Services, LLC
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Parenti (Parenti), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Parenti recommended unsuitable investments in different investment products including debt securities among other…
There are Recent Customer Complaints with Broker Roosevelt Grayson in Firm LPL Financial LLC
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roosevelt Grayson (Grayson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grayson recommended unsuitable investments in different investment products including debt securities among other allegations…
Broker James Hart in Raymond James & Associates, Inc. Firm Has Customer Complaint
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Hart (Hart), currently associated with Raymond James & Associates, Inc., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hart concern allegations of high frequency…
There are Recent Customer Complaints with Broker Michael Kirwan in Firm American Portfolios Financial Services, Inc.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kirwan (Kirwan), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kirwan recommended unsuitable investments in different investment products including debt securities among…