Investors potentially experienced sales practice violations due to securities broker Jaime Estrada (also known as Jaime Achille Estrada, Jimmy Achille Estrada) [CRD: 5852546, Walnut Creek, California], based on disclosures on FINRA BrokerCheck. Evidently, Estrada worked for Wells Fargo Clearing Services LLC from November 22, 2010, to December 16, 2022. As of December 16, 2022, he […]

One or more investors apparently complained about securities broker Abtin Bashirazami [CRD: 7526170, Columbus, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Abtin Bashirazami joined Transamerica Financial Advisors LLC on April 1, 2022. Below, you can learn more about the client dispute involving this broker. Transamerica Investor Accused Bashirazami Of Misrepresentation […]

Investors potentially experienced sales practice violations due to securities broker Terrell Todd Bowman (also known as Terrell Bowman) [CRD: 7382551, Falls Church, Virginia], according to publicly available information through FINRA’s BrokerCheck. Evidently, Terrell Bowman worked for Equitable Advisors LLC from June 30, 2021, to August 11, 2023. Keep reading to find out more about the […]

One or more investors apparently complained about securities broker Pasquale Evangelista (also known as Pat Evangelista) [CRD: 2443782, Naples, Florida], based on disclosures on FINRA BrokerCheck. Evidently, Pasquale Evangelista has worked for Raymond James Associates Inc. since March 19, 2010, serving both as a broker and investment adviser at their Naples, Florida branch. See the […]

Investors potentially experienced losses due to securities broker Ralph William Stockemer [CRD: 1844056, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stockemer has been registered with Northwestern Mutual Investment Services LLC since July 5, 2007. Below, you can discover more about the allegations reported about this broker. Stockemer Disclosed Misappropriation […]

Investors might have sustained losses because of securities broker Alex Paredes-Malaga (also known as Alex Eduardo Malaga, Alex Paredes Malaga, and Alex Eduardo Paredes Malaga) [CRD: 7191576, Brea, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paredes-Malaga has been registered with Merrill Lynch Pierce Fenner Smith Incorporated since January 1, 2020, […]

One or more investors apparently complained about securities broker Tyler Layton Childs [CRD: 6057499, Birmingham, Michigan], according to disclosures on FINRA BrokerCheck. Evidently, Tyler Childs has been registered with UBS Financial Services Inc. since October 13, 2017. Investors are encouraged to Below, you can learn more about the disputes involving this broker. UBS Financial Services […]

Investors potentially experienced sales practice violations due to securities broker Michael Lawrence Hoye [CRD: 3029864, Schaumburg, Illinois], according to publicly available information through FINRA’s BrokerCheck. Evidently, Michael Hoye has been registered with Ausdal Financial Partners Inc. since February 23, 2009, and operates out of their office at 1821 Walden Office Square, Suite 400, Schaumburg, Illinois. […]

One or more investors apparently complained about securities broker Jon M. Urbach [CRD: 5308455, Chicago, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Urbach has been registered with Fidelity Brokerage Services LLC since January 1, 2008, and with Strategic Advisers LLC since March 31, 2025. Both entities are located in Chicago, […]