Investors have reportedly disputed the sales practices of securities broker Derek Robert Taylor [CRD: 5214675, Ashland, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Derek Taylor worked for The Huntington Investment Company beginning March 29, 2010, and later registered as a financial advisor with Huntington Financial Advisors starting July 3, 2013. Investors […]

Investors apparently complained about securities broker Troy Lee Robertson [CRD: 6831574, San Diego, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Robertson has been registered with Emerson Equity LLC since April 30, 2024, and previously worked with Copley Financial Group Inc. beginning July 20, 2017. Investors are encouraged to review […]

Investors potentially incurred losses because of securities broker Carey Allen James [CRD: 1420763, Arroyo Grande, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James worked for Centaurus Financial Inc. beginning on August 19, 2004, as a securities broker and later as a financial advisor starting September 10, 2009. Investors are […]

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 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 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 apparently complained about securities broker Ryan David Finch [CRD: 6379871, Greenwood Village, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Finch worked for Colorado Financial Service Corporation from September 1, 2017, to April 22, 2020, and he has been registered with Emerson Equity LLC since April 21, 2020. Keep reading to […]

Investors potentially experienced sales practice violations by securities broker Ronald Warren Wingerter [CRD: 4184143, Lady Lake, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ronald Wingerter worked for Arkadios Capital from December 19, 2017, to July 29, 2022. Continue reading to learn more about the disclosures reported on his record. Calton Associates […]

Investors apparently complained about securities broker Rajeswaran Venkatraman (also known as Raj Venkatraman) [CRD: 1383008, Lisle, Illinois], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raj Venkatraman has worked for Voya Financial Advisors Inc. since January 3, 2011. Investors should review the information below to find out more about disclosures involving […]