Investors potentially incurred losses because of securities broker Sam Bhushan (also known as Sameer Bhushan) [CRD: 4884717, Irvine, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sam Bhushan worked for Cabin Securities Inc. from July 15, 2017, to December 31, 2025. Keep reading to learn more about Bhushan’s disclosures. Cabin […]

FINRA suspended securities broker Justin Ray Deiter [CRD: 5225102, Garden City, New York], and investors complained about him, according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Deiter worked for Spartan Capital Securities LLC from January 29, 2020, to September 28, 2023. Keep reading to find out more about Deiter’s disclosures. FINRA […]

Investors might have sustained losses due to securities broker Ernesto A. Chavez Jr. [CRD: 4315877, Nogales, Arizona], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chavez worked for Western International Securities Inc. from September 29, 2015, to March 1, 2022, and later joined Emerson Equity LLC, where he has been registered […]

Investors have reportedly disputed the sales practices of securities broker William Joseph Jones [CRD: 1030683, San Rafael, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Jones has worked for Morgan Stanley beginning on June 1, 2009, and remains registered with the firm. Investors are encouraged to review the information […]

Investors might have sustained losses due to securities broker Michelle Fisher Osborne (also known as Michelle Osborne Fleming and Michelle Fisher Rachfalski) [CRD: 2256998, East Largo, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michelle Osborne worked for Emerson Equity LLC beginning on November 8, 2023, and previously worked for Cape Securities […]

Investors potentially incurred losses because of securities broker Matthew David Copley [CRD: 6247665, San Diego, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Copley has worked with several firms during his career, including Emerson Equity LLC beginning January 28, 2020, Copley Financial Group Inc. starting June 15, 2016, and […]

Investors apparently complained about securities broker David Michael Sherwood (also known as Dave Sherwood) [CRD: 1024893, Tucson, Arizona], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Sherwood worked for Greenberg Financial Group from March 22, 2002, to January 3, 2025. Investors are encouraged to continue reading to discover more about […]

Investors potentially experienced sales practice violations by securities broker Ann Louise Werts (also known as Ann Louise Gilmore, Ann Louise Howard, and Ann Louise Vanderslice) [CRD: 5057784, Denver, Colorado], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Werts worked for Cabot Lodge Securities LLC from July 12, 2013, to April 13, […]

Investors potentially incurred losses because of securities broker Scott Stanley Brooks [CRD: 3235252, San Clemente, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Scott Brooks has been registered with Newbridge Securities Corporation since August 16, 2007, and with NFSG Corporation since September 6, 2007. Investors should continue reading to discover […]