Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Cathy Wu (also known as Ping Shuang Wu) [CRD: 4924232, Arcadia, California]. Cathy Wu joined Cetera Investment Services LLC on September 16, 2013, and joined Cetera Investment Advisers LLC on January 21, 2014. During her employment, she has been involved in client disputes concerning […]

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 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 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 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 […]