Investors apparently complained about securities broker Fidel Francisco Trejo-Erazo Jr. (also known as Fidel Francisco Trejo Erazo) [CRD: 1251352, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trejo-Erazo worked for UBS Financial Services Inc. from December 16, 1998, to May 9, 2025, and later joined Morgan Stanley on May […]

Investors might have sustained losses due to securities broker Joshua Lofton Baker (also known as Joshua Baker Ford) [CRD: 5230762, Hoover, Alabama], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Baker worked for MML Investors Services LLC from June 15, 2017, to December 7, 2023, and later worked for OneAmerica Securities […]

Investors have reportedly disputed the sales practices of securities broker Ryan Elliot Shoop [CRD: 4522151, Westlake, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shoop worked for Stifel Independent Advisors LLC from October 15, 2021, to January 17, 2024, and from July 6, 2022, to January 17, 2024, and he also worked […]

Investors potentially experienced sales practice violations by securities broker Thomas Barbaccia [CRD: 2905623, North Hills, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Barbaccia has been registered with Osaic Wealth Inc. since June 14, 2024, and previously worked with Securities America Advisors Inc. and Securities America Inc. from June […]

Investors apparently complained about securities broker Kevin Winthrop Paasch [CRD: 2213833, Virginia Beach, Virginia], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Paasch has worked for MML Investors Services LLC since August 17, 2005. Investors should review the information below to learn more about disclosures involving Paasch’s conduct as a securities […]

Investors potentially incurred losses because of securities broker Rylan Chase Haecker [CRD: 7030389, San Antonio, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rylan Haecker worked for NYLIFE Securities LLC from October 18, 2019, to May 19, 2022. Keep reading to discover more about disclosures involving this securities broker and the client […]

Investors might have sustained losses due to securities broker Mark Joel Rubin [CRD: 1936202, San Rafael, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rubin has worked for Raymond James Associates Inc. as a securities broker since March 24, 2016, and as a financial advisor since March 25, 2016. Investors […]

Investors potentially experienced sales practice violations by securities broker Norbert Helmut Filian (also known as Norb Filian) [CRD: 2998784, Rolling Meadows, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Filian worked for Equitable Advisors LLC beginning February 12, 1998, as a securities broker, and later as a financial advisor starting […]

Investors apparently complained about securities broker John Gilman McCarthy [CRD: 2470464, Hunt Valley, Maryland], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Osaic FA Inc. from February 25, 1999, to January 24, 2025, and then registered with Osaic Wealth Inc. beginning January 24, 2025. Investors are encouraged to continue reading […]