Investors potentially experienced sales practice violations due to securities broker Arif Ahmed [CRD: 3099755, Washington, District of Columbia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, he worked for J.P. Morgan Securities LLC from September 29, 2023, to May 16, 2025. Keep reading to find out more about Ahmed’s disclosures and the […]

Investors might have sustained losses due to securities broker Stephen Robert Marotto (also known as Steve Marotto) [CRD: 5473140, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Stephen Marotto worked for First Republic Securities Company LLC and First Republic Investment Management Inc. from January 17, 2013, to May 19, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Theresa Allen (also known as Theresa Binkley, Theresa Givens) [CRD: 2183693, Newport Beach, California]. Allen has worked in the securities industry for 32 years, most recently registering with RBC Capital Markets LLC in April 2023. Prior to that, she was employed with First Republic […]