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.
Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts GalleryJoseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts
Joseph Woitkoski, Formerly of Raymond James Financial Services, Suspended by FINRA Following Allegations of Exercising Discretion in Clients’ Accounts
Woitkoski is accused of exercising discretion without written authorization from [...]
Christopher Lee Hibbard, Formerly of Merrill Lynch, Pleads Guilty to Fraud Charges
Hibbard pleaded guilty to one count of investment advisor fraud [...]
Mark Boucher, Formerly of Raymond James Financial Services, Charged by SEC with Fraud
Boucher is accused of stealing over $2M from retail investors. [...]
Coral Gables Asset Management and Owner, David Coggins, Charged by SEC with Fraud
The pair is accused of soliciting investors through misrepresentations of [...]
Ohio Broker Dominic A. Tropiano Charged by SEC with Fraud
Tropiano was previously barred by FINRA for recommending unsuitable ETF [...]
Joseph LaForte, Founder of Par Funding, Seeks Release from Prison, Consents to SEC’s Control of Company Until Civil Case is Resolved
The founder of the alleged fraudulent scheme who was arrested [...]
Minish “Joe” Hede and Kevin Graetz, Formerly of Paulson Investment Company, Charged by SEC Following Allegations of Selling Away
The SEC alleged that Hede and Graetz acted as unregistered [...]
Charles Burchard, Formerly of Allstate Financial Services, Barred by FINRA Following Allegations of Engaging in Undisclosed Business Activities
Burchard was terminated by Allstate in May 2019. The Sonn [...]
William Aubrey Morrow, Broker with Concorde Investment Services, Facing Customer Dispute Seeking $100K in Damages
Morrow is accused of recommending unsuitable high-risk investments. The Sonn [...]
