Investors might have sustained losses due to securities broker Parviz Paul Pourfarid [CRD: 2112613, Charlotte, North Carolina], according to disclosures found on FINRA BrokerCheck. Evidently, Pourfarid worked for Western International Securities from December 7, 2010, to July 9, 2025, and later joined Innovation Partners LLC on August 20, 2025, as well as IP Financial Advisory […]

Investors reportedly complained about securities broker Richard Anthony Panno [CRD: 724727, North Palm Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Panno has worked for Buckman, Buckman Reid Inc. since April 28, 2010. Keep reading to learn more about disclosures involving Panno. Buckman Buckman Reid Investor Accused Panno Of Failure […]

Investors potentially experienced sales practice violations due to securities broker James Robert Ptacek Jr. (also known as Jim Ptacek) [CRD: 1959049, Willoughby Hills, Ohio], according to public information found on FINRA BrokerCheck. Evidently, Ptacek worked for LPL Financial LLC from February 14, 2018, to November 14, 2024. Supposedly, the firm discharged him for not reporting […]

Investors apparently complained about securities broker Marilyn Shereen Hoosen [CRD: 4639441, Alexandria, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hoosen worked for Merrill Lynch from August 19, 2016, to June 11, 2025, before joining Stifel Independent Advisors LLC on June 10, 2025. Read on to learn more about Hoosen’s disclosures […]

FINRA brought a complaint against securities broker Nana Kwame Kwakye-Bissah [CRD: 7044974, Washington, District of Columbia], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kwakye-Bissah worked for LPL Financial LLC from July 27, 2023, to October 7, 2024; Fidelity Brokerage Services LLC from May 14, 2020, to June 10, 2023; and […]

Investors might have sustained losses due to securities broker Matthew Joseph McDonald [CRD: 2837629, Walled Lake, Michigan], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McDonald joined Sigma Financial Corporation on November 11, 1999, and SPC on November 5, 2002. Keep reading to learn more about the disclosures concerning McDonald. Sigma […]

One or more investors possibly experienced losses because of securities broker Christopher Adam Knutson [CRD: 2997006, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Knutson joined Aegis Capital Corp. on August 27, 2014, where he continues to work at the firm’s office in Melville, New York. Keep reading to learn more about Knutson’s […]

FINRA Department of Enforcement brought a Complaint against securities broker Ali F. Chehab [CRD: 7625979, Portland, Oregon], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chehab worked for Merrill Lynch from July 24, 2023, to August 9, 2024. Keep reading to find out more about Chehab’s regulatory disclosures and investor […]

Investors reportedly complained about securities broker Adam Marquardt [CRD: 5307192, Rochester, Minnesota], according to publicly available information on FINRA BrokerCheck. Evidently, Marquardt worked for Cetera Advisors LLC from August 7, 2020, to July 21, 2022, and Wells Fargo Advisors Financial Network LLC from April 23, 2010, to August 21, 2020. Keep reading to learn more […]