Investors might have sustained losses due to securities broker Steven Erik Trevor (also known as Steve Trevor) [CRD: 1892620, Plano, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trevor worked for Vanguard Marketing Corporation and Vanguard Advisers Inc. beginning September 9, 2021, and previously worked for Charles Schwab Co. Inc. […]

Investors potentially experienced sales practice violations by securities broker Matthew Ian Zagon (also known as Matt Zagon) [CRD: 2165362, Syosset, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Zagon has been registered with Cova Capital Partners LLC since July 11, 2016. Investors should review the information below to […]

Investors apparently complained about securities broker Weina Hou [CRD: 5901613, Redwood City, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hou worked for Cetera Investment Services LLC from December 4, 2018, to January 3, 2025, and has been registered with Ameriprise Financial Services LLC since January 3, 2025. Keep reading […]

Investors might have sustained losses due to securities broker James Dwight McPherson (also known as Jay McPherson) [CRD: 5918462, San Mateo, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson worked for Emerson Equity LLC beginning on February 18, 2021, and previously worked for Great Point Capital LLC from February […]

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 fined securities broker Angelo Julius Piccone [CRD: 1401761, Pittsford, New York], and investors complained about him, according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Piccone worked for IBN Financial Services Inc. from April 20, 2011, to November 15, 2024. Keep reading to learn more about Piccone’s disclosures. FINRA Sanctioned Piccone […]

Investors apparently complained about securities broker Daniel Philip Raupp [CRD: 4079107, Setauket, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Daniel Raupp has worked for Concorde Investment Services LLC since June 12, 2015. Investors should review the information below to learn more about disclosures involving Raupp’s conduct as reported […]

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 might have sustained losses due to securities broker Zachary Andrew Harless (also known as Zack Harless) [CRD: 5525364, Manteca, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zachary Harless has worked for Wells Fargo Clearing Services LLC since July 22, 2013, and for Wells Fargo Advisors since July 23, 2013. Investors […]