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.
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 [...]
Former Morgan Stanley Broker Kirk J. Crossen Faces FINRA Complaint Over $400,000 in Undisclosed Loans from Elderly Client
Kirk J. Crossen (CRD #2742256), a former broker registered with [...]
Broker Randall Duggan Investigated by Washington Regulators Amid Multiple Investor Complaints
Randall E. Duggan (CRD #5559097), a broker and investment adviser [...]
Former Broker Brian R. Marston Under FINRA Investigation for Alternative Investment Recommendations
Former broker Brian Richard Marston (CRD #733083), previously registered with [...]
FINRA Targets Spartan Capital’s Kim Monchik for Disclosure Failures and Rule Violations
Regulatory actions and customer complaints continue to mount against Spartan [...]
