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 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 Joseph Edward Storzinger (also known as Joe Storzinger) [CRD: 2554671, Liverpool, New York]. Joseph Storzinger worked for American Portfolios Financial Services, Inc. in Massapequa, New York, from March 2017 to December 2018. He later joined Traderfield Securities Inc. in Massapequa, New York, from January […]

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 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 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 […]