Investors might have been negatively affected by securities broker Ethan Wrenn [CRD: 7889172, Chesterland, Ohio], according to BrokerCheck disclosures. Wrenn worked for Equitable Advisors LLC from April 2, 2024, to May 17, 2024, Key Investment Services LLC from July 12, 2024, to August 13, 2025, and Citizens Securities Inc. from July 31, 2025, to April […]

FINRA suspended securities broker Clayton Kwok Shum [CRD: 4412927, Burlingame, California], and one or more investors complained about him, given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shum worked for Grove Point Investments LLC from December 1, 2020, to January 12, 2023, and Grove Point Advisors LLC from April 1, 2021, to January […]

Investors potentially experienced sales practice violations by securities broker Chad Kristopher Mehle [CRD: 7008517, Irvine, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mehle worked for J.P. Morgan Securities LLC from September 20, 2023, to March 25, 2026, and previously worked for Merrill Lynch from July 5, 2022, to […]

LPL terminated the registration of securities broker Rudy Anguiano [CRD: 5188950, Red Bank, New Jersey], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Anguiano worked for LPL Financial LLC in Brea, California, from April 4, 2022, to December 18, 2025, before becoming registered with Alexander Capital LP and Alexander Capital Wealth Management […]

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 potentially incurred losses because of securities broker Brady Thomas Lipp [CRD: 1359835, Milpitas, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brady Lipp worked for Great Point Capital LLC from February 20, 2021, to April 9, 2025, and has been registered with NI Advisors since April 10, 2025. […]

Investors apparently complained about securities broker Joel Anthony Benanti [CRD: 4210681, Hauppauge, New York], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Joel Benanti worked for Network 1 Financial Securities Inc. from June 17, 2019, through May 31, 2024. See the following information to find out more about the disclosures involving Joel […]

Investors potentially incurred losses because of securities broker Ian James Prukner [CRD: 5288581, Sarasota, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ian Prukner worked for PFS Investments Inc. from March 22, 2007, to August 9, 2022. Investors are encouraged to continue reading to find out more about the disclosures involving this […]

Investors potentially incurred losses because of securities broker Araya Mesfin [CRD: 4828859, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesfin worked for UBS Financial Services Inc. from January 13, 2014, to February 1, 2024, and has been registered with Morgan Stanley since January 18, 2024. Investors are […]