One or more investors possibly experienced losses because of securities broker Lanting Wei (also known as Katie Wei) [CRD: 6242083, Redwood City, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wei has worked for Ameriprise Financial Services LLC since February 26, 2025, and previously worked for Cetera Investment Advisers LLC from […]

Investors apparently complained about securities broker Eric Kazuyoshi Takao [CRD: 804445, Honolulu, Hawaii], based on disclosures found on FINRA BrokerCheck. Evidently, Takao has worked for NYLIFE Securities LLC since September 27, 1982. Keep reading to find out more about the disclosures involving Takao and how they may have affected investors. NYLIFE Securities LLC Investor Accused […]

Investors might have sustained losses due to securities broker Parviz Paul Pourfarid [CRD: 2112613, Charlotte, North Carolina], according to disclosures found on FINRA BrokerCheck. Evidently, Pourfarid worked for Western International Securities from December 7, 2010, to July 9, 2025, and later joined Innovation Partners LLC on August 20, 2025, as well as IP Financial Advisory […]

Investors potentially experienced sales practice violations due to securities broker James Robert Ptacek Jr. (also known as Jim Ptacek) [CRD: 1959049, Willoughby Hills, Ohio], according to public information found on FINRA BrokerCheck. Evidently, Ptacek worked for LPL Financial LLC from February 14, 2018, to November 14, 2024. Supposedly, the firm discharged him for not reporting […]

FINRA fined securities broker Todd Leightley [CRD: 4409118, Upper Sandusky, Ohio], based on public information on FINRA BrokerCheck. Evidently, Leightley has worked for Northwestern Mutual Investment Services LLC since December 5, 2001, and for the same firm in his investment adviser capacity since April 19, 2006. Read below to discover more about the disclosures involving […]

One or more investors possibly experienced losses because of securities broker Christopher Adam Knutson [CRD: 2997006, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Knutson joined Aegis Capital Corp. on August 27, 2014, where he continues to work at the firm’s office in Melville, New York. Keep reading to learn more about Knutson’s […]

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 […]