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 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 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 […]