According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Donnell (Donnell), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Donnell 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 Helen grace Caldwell (Caldwell), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Caldwell recommended unsuitable investments in different investment products…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Douglas (Douglas), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Douglas 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 Neal Hayias (Hayias), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hayias 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 Lawrence Rice (Rice), previously associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Rice 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 Luis Quintanar castanon (Quintanar castanon), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one regulatory event, alleging that Quintanar castanon recommended unsuitable investments in different investment products including debt…
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 Derrick Brauner (Brauner), currently associated with Moloney Securities Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Brauner 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 Jared Kirby (Kirby), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kirby recommended unsuitable investments in different investment products including debt securities among…
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…