Investors potentially experienced sales practice violations due to securities broker Genevieve Mar (also known as Gen Mar) [CRD: 2744037, Northbrook, Illinois], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Garcia Mar joined Berthel, Fisher Company Financial Services Inc. on November 5, 2010, and BFC Planning Inc. on October 15, 2024. Keep reading […]

One or more investors possibly experienced losses because of securities broker Michele George Savarese (also known as Michael Savarese and Mike Savarese) [CRD: 1241811, San Diego, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Savarese joined CreativeOne Securities LLC on August 15, 2018. He previously worked with Kestra Advisory […]

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 […]

One or more investors possibly experienced losses because of securities broker Michael Joseph Norton [CRD: 2617985, Syosset, New York], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norton joined David Lerner Associates Inc. on June 15, 1998. He joined Spirit of America Management Corp on October 28, 2022. Keep reading […]

Investors reportedly complained about securities broker Rafael Scott Klein (also known as Rafe Klein) [CRD: 2865823, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. Evidently, Klein joined David Lerner Associates Inc. on April 13, 2005, and Spirit of America Management Corp. on March 29, 2018. Keep reading to learn more about the disclosures involving Klein. […]

Investors potentially experienced sales practice violations due to securities broker Michael Anthony Elias [CRD: 1522834, Brentwood, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Elias worked for Packerland Brokerage Services Inc. from March 12, 2013, to December 31, 2018, before joining Centaurus Financial Inc. on January 2, 2019, where […]

Investors potentially experienced sales practice violations due to securities broker Jaime Antonio Rullan-Ferrao (also known as Jaime Rullan) [CRD: 2923020, Guaynabo, Puerto Rico], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rullan joined Merrill Lynch on August 3, 2009, as a broker, and on March 15, 2013, as an investment […]

FINRA barred securities broker Michael Richard Rosalia [CRD: 2323953, Melville, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rosalia worked with SW Financial from April 5, 2021, until August 29, 2022, before the firm itself was expelled by FINRA in May 2023. Before that, he was employed at Worden […]

Investors reportedly complained about securities broker Alejandro Alberto Blanco (also known as Alex Blanco) [CRD: 3146376, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Blanco worked for MML Investors Services LLC from November 22, 2017, to November 3, 2020. Keep reading to learn more about Blanco’s disclosures and […]