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, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Walter Frank Squires Jr. [CRD: 1955992, Derby, Connecticut]. Squires worked for LPL Financial LLC from 2011 to 2020 and Osaic Institutions Inc. from 2020 to 2024. Recent complaints allege that Squires engaged in unsuitable investment recommendations during his time at the firm. Read on […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Timothy Neil Tremblay [CRD: 1201542, Santa Barbara, California]. Tremblay has worked for Centaurus Financial Inc. since May 16, 2003, where he worked as both a securities broker and financial advisor. A recent arbitration claim filed about Tremblay involves allegations of unsuitable recommendations of real […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Thomas Edwin Moran [CRD: 1938300, New York, New York]. Evidently, Moran has worked for Citigroup Global Markets Inc. since January 4, 2013. Previously, he worked for Gruntal Co. LLC. Investors have raised concerns about Moran’s sales practices, leading to client disputes over the years. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) [CRD: 4503197, Santa Maria, California]. Evidently, Ginn joined Independent Financial Group LLC on September 3, 2015, and worked for Navian Capital Securities LLC in Cincinnati, Ohio, from February 18, 2021, to March 10, […]