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 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 securities broker Max Joseph Birkinbine [CRD: 6836583, North Oaks, Minnesota]. Birkinbine joined Ausdal Financial Partners Inc. on August 11, 2017. According to public records, Birkinbine has been involved in client disputes containing allegations of unsuitable recommendations. Keep reading to learn more about these issues. Investors Accuse […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor John Norman Doiron [CRD: 5305305, Toano, Virginia]. Doiron has worked for Cabot Lodge Securities LLC since 2013 and CL Wealth Management LLC since 2012. Keep reading to learn about the client disputes related to Doiron’s handling of private placements, including GWG […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Gary Sauve [CRD: 411499, Bismarck, North Dakota]. Sauve worked for Centaurus Financial Inc. from June 4, 2015, to March 9, 2021. Sauve has faced client disputes, with allegations ranging from unsuitable investment recommendations to breaches of fiduciary duty. Continue reading to learn more about […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Douglas Cy Waisner [CRD: 1280998, Westlake Village, California]. Evidently, Waisner joined Western International Securities Inc. on May 27, 2008, and worked for Financial West Group from January 1, 2005, to March 20, 2013. Keep reading to learn more about client disputes that contain allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Caz Craffy (also known as Carz Levinski Craffey) [CRD: 5222223, Point Pleasant Beach, New Jersey]. Craffy worked for Newbridge Securities Corporation from May 2017 to March 2021 and with Monmouth Capital Management LLC from April 2021 to November 2022. Keep reading to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Andrew Scheier [CRD: 2820778, New York, New York]. Evidently, Scheier has worked for Stifel Nicolaus Company Incorporated as a securities broker since August 21, 2007, and as a financial advisor since November 24, 2021. Recently, Scheier faced client disputes regarding his recommendations and strategies. […]