Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Michelle Christine Stebbins (also known as Michelle Christine Gillespie) [CRD: 4156378, Southfield, Michigan]. Stebbins joined Stifel Nicolaus Company, Incorporated on May 18, 2018, and previously worked for Wells Fargo Clearing Services LLC from July 23, 2008, to May 23, 2018. Recently, client disputes have […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Juan Manuel Rascon [CRD: 5631144, Katy, Texas]. According to his employment history, Rascon joined Cetera Investment Services LLC on March 8, 2019, and previously worked for BBVA Securities Inc. from May 16, 2013, to March 11, 2019. Investors have raised concerns […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Eric Scott Felsenfeld (also known as Eric Felsenfeld) [CRD: 4496689, Rockville, Maryland]. Eric Felsenfeld worked for Kingswood Capital Partners LLC from June 15, 2018, to November 3, 2023, and is currently registered with Ameriprise Financial Services LLC as of October 16, 2023. Recently, Felsenfeld […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Barrett Reynolds [CRD: 5976029, Canonsburg, Pennsylvania]. Reynolds worked for Pruco Securities LLC from September 2, 2021, to January 24, 2023, and Wesbanco Securities Inc. from May 5, 2017, to March 5, 2021. Recent client disputes and regulatory actions about Reynolds involve allegations of […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities principal Yong Soo Kim (also known as Yong Kim) [CRD: 1747849, Los Angeles, California]. Kim joined Kayan Securities Inc. on November 28, 2011. Kim was employed as a principal responsible for supervising trading activities at Kayan Securities. Keep reading to learn more about the sanctions […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker William Robert Young (also known as Bill Young) [CRD: 4787488, Bethesda, Maryland]. Young’s employment history shows he worked for H. Beck Inc. from February 19, 2010, to October 17, 2017, and worked for Niagara International Capital Limited from October 16, 2017, to June 15, […]