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Pruco Securities Financial Advisor, Christopher Shaw, Has Three Pending Customer Complaint Disclosures, Alleging Sales Practice Misconduct
Christopher Shaw (CRD # 5011382) is a Financial Advisor at Pruco Securities in Charlotte, North Carolina. Christopher Shaw has been in the securities industry since 2005 and previously worked at Kalos Capital. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since July 2019, Christopher Shaw has been the subject of…
Insight Securities Broker, Carlos Legacy, Has Four Pending Customer Complaints, Involving The Sale Of Worthless Securities
Carlos Legacy (CRD # 2148751) is a Financial Advisor at Insight Securities, Inc. in Highland Park, Illinois, where he also allegedly a control person of the company. Carlos Legacy has been in the securities industry since 1991 and previously worked at Investment Placement Group. According to publicly available records released by the Financial Industry Regulatory…
Former Aegis Capital And Joseph Stone Capital Broker, Steven Luftschein, Has 17 Disclosed Customer Complaints And A Pending FINRA Enforcement Action
Steven Luftschein (CRD # 2690117) was a Financial Advisor at Aegis Capital in Melville, NY between 2013-2016 and Joseph Stone Capital in Huntington, NY between 2017-2018. Steven Luftschein has been in the securities industry since 1995 and previously worked at myriad brokerage firms in the New York area. According to publicly available records released by…
Pruco Securities Financial Advisor, Christopher Shaw, Has Three Customer Complaints, Allegding Damages Of More Than $1 Million
Christopher Shaw (CRD # 5011382) is a Financial Advisor at Pruco Securities, LLC in Charltott, North Carolina. Christopher Shaw has been in the securities industry since 2005 and previously worked at Kalos Capital. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since 2019, Christopher Shaw has been the subject of…
