Investors potentially experienced sales practice violations by securities broker William Paul Czaplewski (also known as Bill Czaplewski and Billy Czaplewski) [CRD: 2386057, Monona, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Czaplewski worked for LPL Financial LLC from October 3, 1994, to the present as a broker and from January […]

Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures […]

Investors apparently complained about securities broker David E. Trimble [CRD: 5848398, Troy, Michigan], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trimble worked for Equitable Advisors LLC from November 24, 2010, to the present as a broker and since January 7, 2011, as a financial advisor. Read on to discover […]

Investors potentially incurred losses because of securities broker Nicholas Photiadis (also known as Nick Photiadis) [CRD: 2978120, Paramus, New Jersey], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nicholas Photiadis has worked for LPL Financial LLC since March 18, 2011, in Paramus, New Jersey and Rockleigh, New Jersey. Read on to find out […]

Investors potentially incurred losses because of securities broker Brett Franklin Ewing [CRD: 2904608, Palm Coast, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ewing has been registered with Centaurus Financial Inc. since July 9, 2007, and he has been registered there as a financial advisor since January 17, 2008. Read […]

Investors might have sustained losses due to securities broker David Jon Nastri [CRD: 5178144, Cheshire, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nastri has worked for LPL Financial LLC as a registered broker since October 11, 2011, and he has been registered with LPL Financial LLC as a financial […]

Investors potentially experienced sales practice violations by securities broker Douglas Robert Fisher [CRD: 3196973, Grand Rapids, Michigan], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Fisher worked for LPL Financial LLC from February 23, 2009, to November 25, 2020. Keep reading to learn more about Fisher’s disclosures. LPL Financial Investor Accused […]

Investors have reportedly disputed the sales practices of securities broker Christopher Glenn Rogers [CRD: 4453653, Englewood, Colorado], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rogers has been registered with Emerson Equity LLC since May 31, 2022, and with Ridgegate Advisors LLC since September 12, 2025; previously, he was registered with […]

Investors apparently complained about securities broker Michael Risko [CRD: 1975573, Kingston, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Risko has been registered with Osaic Institutions Inc. since July 1, 2016, operating from offices in Kingston, Hyde Park, and West Hurley, New York. Read on to find out more […]