Investors potentially experienced sales practice violations by securities broker Leslie Lyn Little (also known as Leslie Lyn Gardner) [CRD: 2886719, Scottsdale, Arizona], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leslie Little has worked for J.P. Morgan Securities LLC since October 1, 2012. Investors are encouraged to continue reviewing the details […]

Investors have reportedly disputed the sales practices of securities broker Timothy Patrick Sweeney [CRD: 2669172, Santa Barbara, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Timothy Sweeney has worked for Centaurus Financial Inc. beginning on September 9, 2015, and previously worked for Raymond James Financial Services Inc. during earlier periods of his […]

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 may have incurred losses due to securities broker Michael Adam Battalini [CRD: 3204878, Sewickley, Pennsylvania], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Battalini was employed by World Capital Brokerage Inc. from December 22, 2022, through April 17, 2023, and previously worked for Coastal Equities Inc. from […]

Investors apparently complained about securities broker Fidel Francisco Trejo-Erazo Jr. (also known as Fidel Francisco Trejo Erazo) [CRD: 1251352, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trejo-Erazo worked for UBS Financial Services Inc. from December 16, 1998, to May 9, 2025, and later joined Morgan Stanley on May […]

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 might have sustained losses due to securities broker Mark Joel Rubin [CRD: 1936202, San Rafael, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rubin has worked for Raymond James Associates Inc. as a securities broker since March 24, 2016, and as a financial advisor since March 25, 2016. Investors […]

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 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 […]