Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stephen Paul Haskell [CRD: 6864948, Richmond, Virginia]. Haskell has worked for securities firms including WealthForge Securities LLC, where he was involved in the sale of private placements, and FNEX Capital LLC, where he has been employed since January 21, 2022. Some investors have raised […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Ronald Harland Berg [CRD: 19008, Anaheim, California]. Evidently, Berg worked for Innovation Partners LLC until May 31, 2024, when FINRA permanently barred him from associating with any FINRA member. Keep reading to learn more about Berg’s client disputes and the regulatory actions against him. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Ronald G. Smith (also known as Ron Smith) [CRD: 6038062, Stamford, Connecticut]. In 2024, Smith joined Sanford C. Bernstein Co. LLC and Alliance Bernstein LP. He worked for Spartan Capital Securities LLC from July 1, 2013, to December 26, 2023. Investors filed claims about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures concerning securities broker Robert Nelson Rasbach [CRD: 1204704, Westport, Connecticut]. Rasbach worked for David Lerner Associates Inc. from April 7, 2000, to February 22, 2021. He then worked at Benchmark Investments LLC from February 17, 2021, to May 19, 2023. Evidently, he joined Kingswood Capital Partners LLC […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures concerning Patty Jane Dawson [CRD: 1280879, Ann Arbor, Michigan]. Dawson worked for Stifel Nicolaus Company Inc. from August 19, 2005, to October 10, 2023. Notably, Dawson faced client complaints during her time with the firm, with one or more investors alleging violations of securities laws. Continue reading […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Patrick Michael Egan [CRD: 2973478, Glendora, California]. Egan has worked for Western International Securities Inc. as a securities broker since January 22, 1998, and as a financial advisor since July 30, 2007. Evidently, Egan has faced client disputes concerning his conduct […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Myles William Easter [CRD: 6024704, West Des Moines, Iowa]. Evidently, Easter joined Bankers Life Securities Inc. on June 14, 2018, and Bankers Life Advisory Services Inc. on January 9, 2024. Investors have raised concerns regarding Easter's handling of their investments, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker / financial advisor Michael Peter Sloan [CRD: 2178871, St. Charles, Illinois]. Sloan has worked for Wintrust Investments LLC since August 9, 2010. Previously, he worked for Chase Investment Services Corp. between August 2005 and August 2010. Investors have raised concerns regarding his conduct, alleging […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses information about securities broker / financial advisor Michael Harris Sears [CRD: 2205917, Englewood, Florida]. Sears has worked for several employers, including Osaic Wealth Inc. in Virginia Beach, Virginia, since January 19, 2024, and previously with Woodbury Financial Services Inc. from March 1, 2019, to January 19, 2024. He […]