According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Pazzalia (Pazzalia), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pazzalia 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 Philip Simonides (Simonides), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simonides 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 Jeffrey Dixson (Dixson), previously associated with Madison Avenue Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dixson 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 Richard Gopin (Gopin), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gopin 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 Dimitry Tikhonov (Tikhonov), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tikhonov 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 Langford (Langford), previously associated with Madison Avenue Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Langford recommended unsuitable investments in different investment products including debt securities…
Currently financial advisor James Geake (Geake), currently employed by brokerage firm Madison Avenue Securities, LLC has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to BrokerCheck records financial advisor David Barber (Barber), formerly employed by Madison Avenue Securities, LLC (Madison Avenue) has been subject to five customer complaints, two regulatory actions, and one employment termination for cause. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Barber customer…
In February 2017, broker James Geake (Geake) was subject to a customer complaint alleging $347,083 in damages concerning equity indexed annuities. The customer alleges that he was sold equity indexed annuities that gave the broker a bonus for signing clients and that it was a bait and switch scheme. The…
The securities lawyers of Gana Weinstein LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Mark Trewitt (Trewitt). According to BrokerCheck records Trewitt has been subject to at least four customer complaints. The customer complaints against Trewitt allege securities law violations that including…
