Client Of TD Ameritrade Takes Issue With Securities Broker Kwasi Aggor's Sales Practices Soreide Law Group provides you with an update regarding securities broker Kwasi Mensah Aggor (CRD#: 4974222, Providence, Rhode Island). Evidently, the securities broker worked for firms AXA Advisors (2005 to 2007) and TD Ameritrade (2008 to 2018). Notably, FINRA barred Aggor as […]

Cuna Brokerage Services Client Voices Dispute Over Securities Broker Eric Pasquini FINRA BrokerCheck shows that investors filed disputes about securities broker Eric Stephen Pasquini (CRD#: 3176301, Lemoyne, Pennsylvania). Pasquini worked for IDS Life Insurance Company, American Express Financial Advisors, Allstate Financial Services, Cuna Brokerage Services, and Lincoln Financial Advisors Corporation before joining Cetera Investment Services […]

Broker Rafael Gonzalez Subject Of UBS Financial Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Rafael Alberto Gonzalez (CRD#: 2096117, Coral Gables, Florida). It appears that Gonzalez worked for securities firms UBS Financial Services and Santander Securities before joining Morgan Stanley. Evidently, he is both a financial advisor and […]

Clients Of BBVA Broker Nicholas McMahan File Disputes Alleging Sales Practice Violations Investor dispute information is reported on FINRA BrokerCheck concerning securities broker Nicholas McMahan, also known as “Nick McMahan” (CRD#: 5578896, Austin, Texas). Evidently, McMahan worked for BBVA Compass Investment Solutions (2011 to 2013), BBVA Securities (2013 to 2021), and BBVA Wealth Solutions (2017 […]

Suitability Allegations Made In Ameriprise Financial Services Client's Dispute About Craig Eastwood Important information appears on Financial Industry Regulatory Authority BrokerCheck relating to securities broker Craig Bradford Eastwood (CRD#: 2931709, Naples, Florida). Evidently, the securities broker, who has worked for Ameriprise Financial Services since 2008 as a financial advisor and securities broker, is involved in […]

Broker Shane McMillan (Arete, Cambridge) Facing Investor Disputes The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information on securities broker Dennis Shane McMillan (CRD#: 5126963, Englewood, Colorado). Evidently, McMillan worked for Cambridge Investment Research and Cambridge Investment Research Advisors from 2011 to 2015. Also, he became an Arete Wealth Management securities broker in January […]

Securities Broker Michael Capolongo Involved In Worden, Laidlaw Investor Complaints Soreide Law Group provides you with an update in regard to the investment disputes involving securities broker Michael Philip Capolongo (CRD#: 5702165, Hauppauge, New York). It appears that three investors disputed Capolongo’s sales practices. Although Capolongo currently works for Network 1 Financial Securities, the investment […]

Unsuitable Transactions Alleged In Investors' Disputes About Kalos Broker Fred Baerenz Soreide Law Group provides you with information relating to securities broker Frederick “Fred” Peter Baerenz (CRD#: 2388453, Great Falls, Virginia), who worked at securities firms Pacific West Securities, Cetera Advisors, and Kalos Capital. FINRA BrokerCheck indicates that two investors filed complaints about Baerenz at […]

Broker Andrew Bransky (Stifel Nicolaus, BC Ziegler) Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that clients disputed the sales practices of securities broker Andrew J. Bransky (CRD#: 2680736, Chicago, Illinois). Evidently, Bransky worked for securities firms Principal Financial Securities, Wachovia Securities, BC Ziegler and Company, and Stifel Nicolaus and Company. Evidently, […]