According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Seropian (Seropian), previously associated with Advanced Planning Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Seropian recommended unsuitable investments in different investment products including debt securities among other…
Rockwell Global Capital LLC (Rockwell) brokers Robert E. Lee Jr. (Robert Lee), Douglas Guarino (Guarino), and Lawrence Lee (Lee) have been the subject of at least 29 combined customer complaints. All three brokers have been accused by clients of churning their accounts and making unsuitable investment recommendations. Robert Lee first…
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