Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.
Investors apparently complained about securities broker Stephen Hans Wagner (also known as Steve Wagner) [CRD: 2193508, Ventura, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for LPL Financial LLC from January 22, 2016, to January 20, 2026. Read on to find out more about Wagner’s disclosed history.
According to FINRA records LPL Financial LLC terminated Wagner on December 17, 2025. The firm stated that the discharge followed allegations that Wagner carried out transactions involving low-priced securities.
Also, a client of Transamerica Financial Advisors Inc. contested Wagner’s sales practices, according to a complaint dated November 5, 2014. Allegedly, Wagner made unsuitable recommendations. It appears that Wagner allegedly caused the client to sustain damages connected to stocks. As a result, the client sought compensation from Transamerica Financial Advisors Inc. or Wagner in the amount of $80,000 in this matter. However, the firm denied this complaint.
Additionally, a client filed a complaint about Wagner. Primarily, the client alleged that Wagner gave unsuitable advice. Because of this, the client allegedly incurred damages related to stocks. Therefore, on March 25, 2010, Transamerica Financial Advisors Inc. settled this matter by paying the client $8,000 in damages.
Are you concerned about investments you made through Stephen Wagner? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Wagner and brokerage firms Wagner worked for deny allegations of sales practice violations.
Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.
Robert Averwater (CRD 5614514) is a Memphis, Tennessee broker. FINRA fined him $10,000, suspended him from association with any member firm in all capacities for four months, and required him to complete 10 hours of continuing education, according to an AWC issued August 18, 2026.
Qi Yang (CRD 7439718) is a San Francisco, California broker. FINRA suspended him from association with any member firm in all capacities for six months and assessed a deferred fine of $5,000, according to an AWC issued August 10, 2026.
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