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 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 […]

Investors potentially incurred losses because of securities broker Curvin Elwood Miller IV (also known as Curv Miller) [CRD: 5106137, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Curvin Miller worked for Arkadios Capital from September 14, 2022, to March 29, 2024, and previously worked for Kalos Capital Inc. from […]

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 have reportedly disputed the sales practices of securities broker Michael Allen Frontino [CRD: 1176514, South Charleston, West Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frontino worked for Woodbury Financial Services Inc. from November 26, 2008, to January 19, 2024, and has been registered with Osaic Wealth Inc. since January 19, […]

Investors potentially incurred losses because of securities broker Mary Colleen Wright (also known as Mary Colleen Leake) [CRD: 1023579, Boulder, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mary Wright has worked for Morgan Stanley since June 1, 2009, where she has been registered as both a broker and an investment adviser. […]

Investors potentially experienced sales practice violations by securities broker Robert Wayne Thompson (also known as Bob Thompson) [CRD: 713539, Houston, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robert Thompson worked for The O.N. Equity Sales Company from January 9, 2015, to October 28, 2025. Investors are encouraged to continue […]

Investors have reportedly disputed the sales practices of securities broker James George Witkowski [CRD: 4221931, Liberty, Missouri], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witkowski has worked for Cetera Advisors LLC since December 10, 2009, and later became registered with Cetera Investment Advisers LLC on March 21, 2024, after previously […]

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 […]