Investors potentially experienced sales practice violations by securities broker John Michael McArthur [CRD: 4389397, St. Louis, Missouri], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mr. McArthur has been registered with Krilogy since February 24, 2012, and with Saxony Securities Inc. since November 28, 2014. Readers should continue reviewing this information to find […]

Investors potentially incurred losses because of securities broker Peter Chi-Bun Chow (also known as Peter Chi Bun Chow) [CRD: 6125403, Arcadia, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peter Chow has been registered with Cetera Investment Services LLC and Cetera Investment Advisers LLC since November 19, 2024. Previously, he was […]

Investors might have sustained losses due to securities broker Nicholas Mathew Gianascoli (also known as Nick Gianascoli) [CRD: 6805515, Naples, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianascoli worked for Merrill Lynch from December 23, 2019, through May 31, 2023, and has been registered with J.P. Morgan Securities LLC since June […]

Investors may have suffered financial harm by securities broker Michael Truett McIntyre (also known as Michael Mac McIntyre) [CRD: 2839149, Oakbrook Terrace, Illinois], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McIntyre worked for National Securities Corporation from July 12, 2017, to July 22, 2022. He has been registered with B. Riley […]

Investors potentially experienced sales practice violations by securities broker Kenneth Joseph Vercellino (also known as Kenny Vercellino) [CRD: 2583864, San Francisco, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Vercellino worked for J.P. Morgan Securities LLC from July 29, 2010, through February 26, 2022, and has worked for Raymond James Associates Inc. […]

Investors potentially incurred losses because of securities broker Mingqi Jennifer Li (also known as Jennifer Mingqi Li) [CRD: 4871851, White Plains, New York], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Li worked for Emerson Equity LLC from May 8, 2019, to July 20, 2023. Li has been registered with Arkadios […]

Investors might have sustained losses due to securities broker Michael Christopher Landis [CRD: 6116993, Northampton, Pennsylvania], given the disclosures reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Landis joined Wells Fargo Clearing Services LLC on October 19, 2012, and Wells Fargo Advisors on August 14, 2018. Readers can review the information below regarding a client […]

Investors apparently complained about securities broker Deetra Marie Tesla (also known as Deetra Marie Portanova-Koch and Deetra Tesla-Koch) [CRD: 2567278, Missouri City, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tesla has been registered with TCFG Wealth Management LLC since March 5, 2014. She was associated with Augment Capital LLC […]

Texas State Securities Board sanctioned securities broker Wang Chang Tsai (also known as Brian Tsai) [CRD: 6687951, Dallas, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brian Tsai has been registered with TKC Wealth Management LLC since September 7, 2017. He has been with Landolt Securities Inc. since January 22, 2018. See […]