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 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 Ali Barry Mahlooji [CRD: 4830105, Jersey City, New Jersey]. Mahlooji joined PHX Financial Inc. in New York, New York, on December 16, 2019. Previously, he worked for National Securities Corporation in Jersey City, New Jersey, from November 20, 2012, to December 17, 2019. Investors […]

Investors possibly experienced losses because of securities broker Thomas Brian Swan [CRD: 1698430, Westlake Village, California], and Securities and Exchange Commission (SEC) brought a complaint against him, according to publicly available disclosures. Evidently, Thomas Swan has worked for Western International Securities Inc. since 2008 as a securities broker and since 2014 as a financial advisor. […]

Investors possibly experienced losses because of financial advisor / securities broker Shane Michael DeSherlia [CRD: 6800960, Jerseyville, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shane DeSherlia has worked for Moloney Securities Co. Inc. since May 24, 2017, and Moloney Securities Asset Management LLC since November 7, 2019. Keep reading to […]

Investors possibly experienced losses because of securities broker Norman Hugh Meyer [CRD: 3185642, Milpitas, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norman Meyer has worked for NI Advisors since September 20, 2021, and for Vestech Securities Inc. since June 3, 2016. He also serves as a financial advisor at Vestech […]

Investors complained about securities broker Joseph Robert Eades Jr. (also known as Rob Eades and Robbie Eades) [CRD: 2357818, Easley, South Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Eades has worked for Capital Investment Group Inc. since January 30, 2004, and with Capital Investment Advisory Services LLC since January […]

Investors complained about securities broker Chuck A. Roberts [CRD: 2064602, Miami Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chuck Roberts has worked for Stifel Nicolaus Company Inc. since March 1, 2016, as both a financial advisor and securities broker. Below, investors can find a summary about Roberts’ disclosures and […]