Browse Investment Loss News Related to Brokers, Advisors, and Firms
Our primary blog addresses a wide spectrum of investor-related issues; this section focuses specifically on investment losses tied to brokers, advisors, and financial firms.
Can I Sue My Stockbroker? Your Legal Rights Explained
If you suffered investment losses, the issue may not be market volatility alone. In some cases, stockbroker misconduct, unsuitable recommendations, misrepresentations, or failure to disclose important risks may give rise to a legal claim. Sonn Law helps investors evaluate whether their losses may be recoverable through FINRA arbitration or other available legal remedies.
FINRA Sanctions Carter, Terry & Company Over Reg BI Failures in UIT Sales
Early redemptions of Unit Investment Trusts can significantly increase investor [...]
FINRA Suspends Former LPL Broker David J. Taddeo Over Undisclosed Private Securities Transactions
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action [...]
Shomari Hearn: Why Was Palisades Hudson Advisor Fired?
Former Fort Lauderdale, Florida financial advisor Shomari Hearn (CRD# (https://www.google.com/url?q=https://adviserinfo.sec.gov/individual/summary/5026079&sa=D&source=editors&ust=1766341195965711&usg=AOvVaw1SXQzKi7ZQIlWzuhgUeBVR)5026079 [...]
FINRA Suspends Broker Keith Dagostino for Alleged Best Interest Failures
The Financial Industry Regulatory Authority (FINRA) has issued a Letter [...]
FINRA Files New Complaint Against Spartan Capital Securities Over Supervision of High-Risk Brokers
The Financial Industry Regulatory Authority (FINRA) has filed a new [...]
RBC Capital Markets Broker Paul R. Meyer Suspended for Discretion Violations
RBC Capital Markets broker Paul R. Meyer (CRD #3062534) has [...]
FINRA Files New Disciplinary Complaint Against Spartan Capital, CEO John Lowry, and CAO Kim Monchik
A new chapter has opened in the ongoing regulatory scrutiny [...]
FINRA Alleges Gustave J. Schmidt Hid Compensation on Pre-IPO Private Placements
The Financial Industry Regulatory Authority (FINRA) has filed a disciplinary [...]
