Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
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 14, 2022, to June 14, 2024, as well as Lincoln Financial Advisors Corporation from May 1, 2020, to June 15, 2022 (with financial advisor registration there from June 14, 2021, to June 15, 2022). Keep reading to find out more about Barbaccia’s disclosure history.
Evidently, on January 23, 2024, a Lincoln Financial Advisors Corporation client filed FINRA Arbitration No. 24-00154 about Thomas Barbaccia. Primarily, the client alleged that Barbaccia made unsuitable recommendations. For this reason, the client allegedly incurred damages relating to real estate securities. As a result, the client requested $44,000 in compensation from Lincoln Financial Advisors Corporation or Barbaccia. It appears that this arbitration is ongoing.
Also, a client of Lincoln Financial Advisors Corporation contested Thomas Barbaccia’s sales practices, according to a complaint dated May 8, 2017. Allegedly, Barbaccia made misrepresentations and made unsuitable recommendations. It appears that Barbaccia allegedly caused the client to incur damages connected to real estate investment trusts and variable annuities. Consequently, the client sought compensation from Lincoln Financial Advisors Corporation or Barbaccia. However, the firm denied this complaint.
Did you experience losses because of Thomas Barbaccia? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm represents investors on a contingency fee basis and advances all costs. Barbaccia and brokerage firms Barbaccia worked for deny accusations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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