Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Kyle William Chapman [CRD: 6303483, Henderson, Nevada]. Kyle Chapman worked for American Trust Investment Services from November 2020 to July 2022 and WestPark Capital, Inc. from August 2018 to October 2020. Recent disclosures reveal concerns about Chapman’s conduct, including allegations of unsuitable investment recommendations […]

DARRACH MICHAEL BOURKE (DARRACH BOURKE), has been registered both as a broker and an investment advisor with EMERSON EQUITY LLC of Mill Valley, California, since May of 2017.  According to FINRA’s BrokerCheck, available on FINRA’s website to the public, DARRACH BOURKE, has been in the securities industry for 17 years and has been listed with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, Tammie Burk Farrell) [CRD: 2475931, Franklin, North Carolina]. Tammie Farrell worked for Wells Fargo Advisors, LLC from October 2000 to October 2012, and later joined Capital Investment Group, Inc. on October 9, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin]. Evidently, John Wolf worked for several firms throughout his career, including Purshe Kaplan Sterling Investments from November 2009 to January 2016, Raymond James Financial Services from June 1996 to September 2009, and Banc One Securities Corporation from […]

EVAN JAY ADELGLASS, according to FINRA’s BrokerCheck, has been registered both as a broker and as an investment advisor with LPL FINANCIAL LLC, in Ansonia, Connecticut, since August 31, 2005. According to BrokerCheck, available on FINRA’s website to the public, EVAN JAY ADELGLASS, has been in the securities industry for 30 years and was listed […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Marc Harrison [CRD#: 1605568, New York, NY]. Marc Harrison worked for several firms during his career. He has been registered with Reid & Rudiger LLC since November 8, 1999, in New York, New York. Previously, Harrison worked for Emmett A Larkin Company, Inc. in […]

           Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against:            WELLS FARGO CLEARING SERVICES, LLC, and their registered representative,             JEREMY C MAURER (Respondents). The Claimant is a widow in her 90s, who resides in California. The lawsuit states that the Claimant’s late husband managed all the household […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Fred Chen (also known as Fredrick Chen) [CRD: 5766069, Irvine, California]. Fred Chen worked for LPL Financial LLC from August 17, 2017, to May 15, 2018, Arque Capital, Ltd. from May 8, 2018, to February 24, 2020, and has been employed with Emerson Equity […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christopher J. Gordon (also known as Chris Gordon) [CRD: 5714224, Annapolis, Maryland]. Christopher Gordon worked for Lincoln Financial Securities Corporation from December 2009 to July 2016, then joined Cambridge Investment Research, Inc., where he was employed from July 2016 to February 2023. He is […]