Investors apparently complained about securities broker James Robert Ptacek Jr. (also known as Jim Ptacek) [CRD: 1959049, Willoughby Hills, Ohio], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ptacek worked for LPL Financial LLC from February 14, 2018, to November 14, 2024. Investors are encouraged to continue reading to learn more about […]

Investors might have suffered losses due to securities broker Michael Joseph Kelley [CRD: 1021878, Winter Park, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelley worked for LPL Financial LLC from September 8, 2009, to the present and Charter Advisory Corporation from September 30, 1999, to the present. See […]

Investors might have sustained losses due to securities broker Maria Karina Valido (also known as Maria Karina Payret) [CRD: 6324596, Miami, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Valido worked for Infinex Investments Inc. from February 17, 2015, to April 22, 2022. Keep reading to find out more about […]

Investors have reportedly disputed the sales practices of securities broker Alvaro Mauricio Jiron [CRD: 4226147, Coral Gables, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jiron worked for Infinex Investments Inc. from July 5, 2016, to February 20, 2023, before joining LPL Financial LLC on February 24, 2023, where […]

Investors apparently complained about securities broker Michael Thomas Polito (also known as Thomas Michael Polito) [CRD: 5433956, Dedham, Massachusetts], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polito has been registered with NYLIFE Securities LLC since December 18, 2007, and Eagle Strategies LLC since April 1, 2019. Read on to discover […]

Investors potentially incurred losses because of securities broker Norman Francis D'Silva (also known as Norman Francis Dsilva) [CRD: 2420634, Ormond Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. D'Silva has been registered with PFS Investments Inc. since January 28, 1994, and with Primerica Advisors since July 27, 2016. See […]

Investors potentially incurred losses because of securities broker Joseph Neil Trotta (also known as Joe Trotta) [CRD: 449594, Hobe Sound, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joseph Trotta worked for LPL Financial LLC from April 28, 2006, to the present as a broker and from May 30, 2006, […]

One or more investors possibly experienced losses because of securities broker Michael Jeffrey Rea [CRD: 4768423, Williamsville, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rea has worked for Equitable Advisors LLC since May 15, 2007, as a broker and since May 16, 2008, as an investment adviser. Read below […]

Investors apparently complained about securities broker Vincent Thomas Ferrara Jr. [CRD: 1791902, Garden City, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Ferrara worked for Merrill Lynch Pierce Fenner Smith Incorporated from June 6, 2008, to February 22, 2024, and has been registered with Ameriprise Financial Services LLC […]