Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Jensen Nelson [CRD#: 5065593, Mission Viejo, California]. Nelson is registered with Emerson Equity LLC and has worked there since December 2, 2013. His professional history spans seven firms over 18 years. Recent disclosures reveal concerns about Nelson’s conduct, including multiple pending arbitration claims […]

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 […]

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 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 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 shows disclosures about securities broker Ronald Harland Berg [CRD: 19008, Anaheim, California]. Evidently, Berg worked for Innovation Partners LLC until May 31, 2024, when FINRA permanently barred him from associating with any FINRA member. Keep reading to learn more about Berg’s client disputes and the regulatory actions against him. […]

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 Maxwell Douglas Peckler (also known as Max Peckler) [CRD: 2391251, Boston, Massachusetts]. Peckler worked for UBS Financial Services Inc. from June 20, 2003, to December 9, 2021. He also worked for First Republic Securities Company LLC from November 12, 2021, to September 29, 2023. […]