According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Todd (Todd), previously associated with Centaurus Financial, Inc., has at least 15 disclosable events. These events include 13 customer complaints, 2 regulatory events, alleging that Todd recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Santori (Santori), previously associated with Locust Street Securities, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Santori 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 Thomas Clark (Clark), previously associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Clark 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 Rodney Rich (Rich), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rich 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 James Hecker (Hecker), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hecker 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 Sandeep Madhavan (Madhavan), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madhavan 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 Alan Felenchak (Felenchak), currently associated with Citizens Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Felenchak 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 Perry Santillo (Santillo), previously associated with Questar Capital Corporation, has at least one disclosable event. These events include one regulatory, alleging that Santillo recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Fenn (Fenn), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fenn recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hesse (Hesse), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hesse recommended unsuitable investments in different investment products including debt securities among other allegations and…
