Securities Lawyers Blog

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There are Recent Customer Complaints with Broker Rafael Williamson in Firm UBS Financial Services INC.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Williamson (Williamson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Williamson recommended unsuitable investments in different investment products including debt securities among other…

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Broker Joseph Lauzon in LPL Financial LLC Firm Has Customer Complaint

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

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There are Recent Customer Complaints with Broker Sharon Pensabene in Firm Nylife Securities LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sharon Pensabene (Pensabene), previously associated with Nylife Securities LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pensabene recommended unsuitable investments in different investment products including debt securities among other allegations…

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There are Recent Customer Complaints with Broker Patrick Buttarazzi in Firm Wells Fargo Clearing Services, LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Buttarazzi (Buttarazzi), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buttarazzi recommended unsuitable investments in different investment products including debt securities among…

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There are Recent Customer Complaints with Broker William Clary in Firm D.a. Davidson & CO.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Clary (Clary), currently associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Clary recommended unsuitable investments in different investment products including debt securities among other…

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There are Recent Customer Complaints with Broker Mark Brooks in Firm Northwestern Mutual Investment Services, LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Brooks (Brooks), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brooks recommended unsuitable investments in different investment products including debt securities among…

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There are Recent Customer Complaints with Broker Victoria Conigliaro in Firm UBS Financial Services INC.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Conigliaro (Conigliaro), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Conigliaro recommended unsuitable investments in different investment products including debt securities among other…

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There are Recent Customer Complaints with Broker Steven Spiesberger in Firm RBC Capital Markets, LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Spiesberger (Spiesberger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiesberger recommended unsuitable investments in different investment products including debt securities among other…

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Broker David Smith in Ausdal Financial Partners, INC. Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other…

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Broker Maureen Bobilya in Park Avenue Securities LLC Firm Has Customer Complaint

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maureen Bobilya (Bobilya), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bobilya recommended unsuitable investments in different investment products including debt securities among other…

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