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 […]

Investors might have sustained losses through securities broker John Martin Bussa [CRD: 4418922, Southfield, Michigan], according to publicly available information on FINRA BrokerCheck. Evidently, Bussa joined Osaic Wealth Inc. on January 24, 2025. He previously worked for Osaic FA Inc. from July 16, 2001, to January 24, 2025. Keep reading to learn more about the […]

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 […]